Financial Institutions

Home
Industries
Financial Institutions

Professional Services for Financial Institutions

Financial institutions face a myriad of challenges in today’s unpredictable economic environment, including increasing regulation, managing capital and liquidity, evolving competitive positioning, leveraging new technology, and determining how to achieve new levels of growth and sustainable profitability. They must navigate changes from the regulators, the SEC, the PCAOB, and the IRS, which are continually proposing and implementing new requirements and imposing new wrinkles on the financial reporting process.

Trusted advisors are essential to navigating and mitigating the impact of these rapid changes in regulations and requirements. Our professionals have a deep understanding of the financial institutions industry and will provide personal, partner-level service that preemptively addresses and manages the operational challenges and risks to your company.

Services for Banks & Credit Unions

As a highly-regulated and scrutinized sector, banks and credits unions are often to subject to stringent requirements that go beyond conventional reporting. We have experience in providing community, regional, and national institutions with these specialized services, including:

FHA-approved lenders and HUD audit requirements
Reporting on the effectiveness of internal controls over financial reporting (FDIC & Sarbanes-Oxley [SOX] Section 404)
Student loan compliance examinations
Uniform single attestation programs for mortgage bankers

Bank secrecy act (BSA) and anti-money laundering (AML) compliance
Branch acquisitions studies
Core deposit evaluations
Corporate risk governance

Electronic fund transfers
Gramm-Leach-Bliley Act compliance
Investment portfolio analysis
Lease/purchase evaluations
Loan reviews (quality and risk)

Stock conversions
USA Patriot Act
Member account verification
Trust department audits
Assistance with credit union service organization (CUSCO) formation and tax return preparation

Services for Investment Advisors & Broker Dealers

Investment advisors and broker dealers receive a similar level of scrutiny due to their entrenchment in the systems generating the economic landscape. Our professionals are well-versed in the unique needs of your industry compliance standards, including: