Financial Services Regulatory Compliance

Cherry Bekaert’s Financial Services Regulatory Compliance team enables clients to fulfill complex compliance requirements and overcome any regulatory challenges.

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Helping Our Clients Meet Their Financial, Risk and Regulatory Compliance Requirements 

The Importance of Compliance in Financial Services: Protecting Your Business and Clients 

In the highly dynamic world of regulatory compliance, clients must rely on industry-leading knowledge and proven experience to ensure outcomes through a risk-based approach focused on regulatory standards and best practices. 

Frequent compliance updates challenge businesses to possess the technical knowledge required to overcome emerging regulatory changes. Our professional approach to modern issues, with a focus on the success of our clients, adds value every step of the way. For decades, we have enabled our financial services clients to fulfill their complex compliance requirements.

By leveraging our knowledge of state and federal regulatory agencies, as well as experience from our vast client base, we provide value and insights to critical business risk and compliance functions so that clients can confidently meet their obligations. 

The Importance of Compliance in Financial Services 

As the number and intricacy of technologies and regulations grow, and earnings pressure increases, it’s vital for companies to regularly evaluate the effectiveness of their risk mitigation programs. Properly established and comprehensively maintained programs can help you control compliance-related expenses, avoid costly remediation activities, and mitigate operational, strategic and reputational risks. 

Our Focus on Compliance in the Financial Sector

Our dedicated team’s industry-specific experience with the financial services sector positions Cherry Bekaert to deliver unique internal audit, risk management and advisory solutions to meet the unique needs of our clients. 

Explore Our Financial Services Regulatory Compliance Services

Financial Services Compliance Offerings

Bank Regulations & Compliance Services

  • Banking Regulations
    • Lending, Deposit & Other Consumer Regulatory Compliance
  • Compliance Program Administration
    • Risk Assessments
    • Risk-Based Compliance Monitoring Programs
    • Policies & Procedures Review
    • Compliance Training
    • Pre-Regulatory Compliance Evaluations
    • On-Going Compliance Support
  • Financial Crimes
    • Bank Secrecy Act (BSA)
    • Anti-Money Laundering (AML)
    • Office of Foreign Assets Control (OFAC)
    • Federal Financial Institutions Examination Council (FFIEC)
    • Consumer Financial Protection Bureau (CFPB)
    • FinCEN/FINRA
  • Specialty Areas
    • Community Reinvestment Act (CRA)
    • Home Mortgage Disclosures Act (HMDA)
    • Fair Lending Compliance
    • Unfair, Deceptive, or Abusive Acts & Practices (UDAAP) Compliance

Financial Services Compliance Offerings

Bank Regulations & Compliance Services

  • Banking Regulations
    • Lending, Deposit & Other Consumer Regulatory Compliance
  • Compliance Program Administration
    • Risk Assessments
    • Risk-Based Compliance Monitoring Programs
    • Policies & Procedures Review
    • Compliance Training
    • Pre-Regulatory Compliance Evaluations
    • On-Going Compliance Support
  • Financial Crimes
    • Bank Secrecy Act (BSA)
    • Anti-Money Laundering (AML)
    • Office of Foreign Assets Control (OFAC)
    • Federal Financial Institutions Examination Council (FFIEC)
    • Consumer Financial Protection Bureau (CFPB)
    • FinCEN/FINRA
  • Specialty Areas
    • Community Reinvestment Act (CRA)
    • Home Mortgage Disclosures Act (HMDA)
    • Fair Lending Compliance
    • Unfair, Deceptive, or Abusive Acts & Practices (UDAAP) Compliance

Our Professionals

Connect With Us

Scott M. Moss

Financial Services Industry Leader

Partner, Cherry Bekaert Advisory LLC

Chris Purvis

Financial Institutions Leader

Partner, Cherry Bekaert LLP
Partner, Cherry Bekaert Advisory LLC

Scott Peyton

Risk Advisory Leader

Partner, Cherry Bekaert Advisory LLC

Contact Our Financial Services Team