Compliance & Risk
Managing risk and achieving compliance is a team effort.
Our comprehensive compliance and risk service offering is designed to help our clients feel confident managing risk in highly regulated environments. We have specialists dedicated to understanding multiple compliance frameworks. Our process is built to help leaders achieve high confidence in their strategies for the future of their business.
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Internal Audit
Our Internal Audit team completes audits for lenders to satisfy regulatory compliance and assess business practices to recommend improvements.
System and Organization Controls (SOC) Reports
We can complete SOC Types 1, 2, 3 and SOC for Cybsersecurity Reports for vendors that service lending companies.
Subservicer Oversight
Our comprehensive Subservicer Oversight offerings help lenders who service loans or use a subservicer to assess and manage risk and ensure compliance with regulations.
Assurance
Our Assurance Services Team works closely with clients to develop high quality audit services, based on a process that minimizes accounting risks in line with AICPA standards.
Employee Benefit Plan Analysis
We help companies fulfill their fiduciary requirements and manage risk to protect retirement assets and achieve the best results for employees.
Cybersecurity Services
Effective cybersecurity is built on securing people, processes and technology. Our team has built a full-service offering to help companies manage risk and achieve compliance in this rapidly-changing field.
Governance, Risk, Compliance & Privacy
Our GRCP services are built on a strong relationship with the client. We deeply analyze your process and controls to find efficiencies and reduce risk with minimal disruption to your business.
A Client-Focused Approach to Risk Management
Regulations and market conditions change every day. You need a team dedicated to protecting your business. We focus on communication with leadership and stakeholders, so you understand every step we are taking to assess your business.
Contact us below if your business needs Compliance & Risk services.
We Understand Your Risks
Our services are staffed by industry specialists. We have experience with the regulations that apply to your business and the market conditions, tools and processes that may represent risk.
Mortgage Banking
Our company was founded on providing high quality services for lenders. To help you manage risk, we offer:
- Internal Audit
- Subservicer Oversight
- Employee Benefit Plan Analysis
- Cybersecurity
- Governance/Risk/Compliance & Privacy Services.
Privately Held Businesses
We can assist privately held businesses with a number of financial services and compliance/risk solutions, including cybersecurity, GRCP Services, Internal Audit and various financial compliance frameworks as they apply to your business size and offerings.
Alternative Investments
The exciting and dynamic Alternative Investments industry requires services staffed by specialists who can keep up with a fast pace. We offer:
- Internal Audit
- Fund Structure Consulting
- Cybersecurity
- Governance/Risk/Compliance & Privacy Services
- A robust tax service offering.
Media & Entertainment
The M&E Industry is evolving. Studios expect every company in the supply chain to comply with TPN Standards. Companies must have policies and procedures to protect data and content and manage risk. Our dedicated Cybersecurity and GRCP Services can help.