Governance & Compliance

See risk from every angle.

Internal audits. Sarbanes-Oxley (SOX). Regulatory compliance. Governance and compliance is a broad, complex field that spans a variety of issues and specializations. That’s where we come in. Our audit and compliance consultants work hand-in-hand with you on-site to help you identify, remediate, monitor, and manage enterprise risks, ensuring that you utilize people, processes, and technology in the most cost-effective and compliant ways possible to minimize risk and increase productivity.

Our internal audit engagements typically fit into two resource management categories:

Internal Audit Loan Staff

Our highly qualified CPA and CIA professionals close your temporary resource or experience gaps while working under your team’s day-to-day supervision.

Integrated Internal Audit Co-Sourcing

Our audit strategy, audit technical, and audit compliance professionals work with you to develop a shared set of responsibilities that complement your strengths so that we take work off your hands rather than add to it.

Typical Engagements:

Regulatory compliance & reporting services

  • Sarbanes-Oxley (SOX) and Model Audit Rule (MAR) solutions meet both finance and IT requirements and include:
    • Co-sourcing, project and loan staff augmentation services
    • Project management
    • Risk assessment and documentation
    • Key controls testing, monitoring, and reporting
    • Multi-country coordination
    • Acquisition integration
    • Deficiency resolution

Regulatory compliance services by industry:

Financial Services and Banking

 

Fair Lending, BSA, AML, Patriot Act, CCAR, FINRA, CFBB, OCC, BASEL II/III Accord, GLBA, Dodd-Frank Act

Healthcare and Human Services

 

ACA, HIPAA Privacy, HITECH, OIG compliance, ICD-10

Publicly Traded Companies

 

SEC, FCPA, SOX

Payment Card Industry Data Security Standard

 

PCI-DSS, PA DSS, PINPAD, QSA, QIRA

Let us take on risk with you.

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