Regulatory Support

As much as many of our financial institution clients wish for this to happen,  regulatory requirements are not going away.  While some of these requirements may be moderated from time to time, new and more complex requirements are constantly arising, necessitating a process that ensures your institution fully understands its regulatory responsibilities. That’s why proactive management of your institution’s regulatory interactions and examinations is an essential element in the safe and sound operation of your institution.

Our first-hand experience in the regulatory arena over the past four decades has provided us with valuable insights into the regulatory process that can deliver meaningful value to your operations. We work together with our clients to provide advice to management in advance of regulatory examinations, establish effective governance processes, educate the Board of Directors and help to ensure compliance with enforcement actions and Matters Requiring Board Attention (MRBAs).

At PKM, we’re sensitive to the fact that fulfilling regulatory requirements is a time consuming endeavor.  And in many cases, that is what is most needed – time, time to review routine compliance disclosures, time to craft procedures to fulfill new compliance requirements, time to train your relevant staff on such new requirements.  Whether you have a full in-house compliance staff that is just looking for some additional time or support, or do not have a dedicated compliance team at all, we have the right mix of flexible resources to meet your exact needs and budget.

Our Regulatory Support Packages include:

  • Examination Preparation & Management
  • Board Member/Executive Training
  • Resource availability in support of in-house compliance staff
  • Enforcement Action Compliance Support
  • MRBA Remediation
  • Due Diligence Reviews

Contact Us

For more information on PKM’s Regulatory Support Solutions, contact Greg Jones at (404) 420-5997 or gjones@pkm.com today to learn more or to schedule a consultation.