Regulatory Compliance Associates, Inc. (REGCOM) offers proactive regulatory risk management products and services to the financial services industry.

Staffed with individuals possessing extensive regulatory examination and financial services work experience, REGCOM offers a variety of onsite services. These include:

• Consulting with the Board of Directors, senior management, and staff regarding new products, services, and related areas of potential regulatory risk;
• Partnering with senior management and staff to design, develop, implement, and test policies, procedures, and control systems to ensure sound governance throughout the financial institution;
• To determine the institution's overall level of compliance, conducting independent:
  • Bankwide regulatory risk assessments,
  • Corporate governance assessments,
  • Detailed compliance diagnostic reviews,
  • CRA assessments,
  • BSA/AML/OFAC reviews, and
  • Fair lending assessments.
• Consulting on a specific focus area in preparation for or in response to a regulatory examination;
• Assisting management in responding to enforcement actions; and
• Offering training on a classroom, Board, or individual basis.

In addition, REGCOM authors various publications addressing a wide array of compliance-related issues. Click here for information on the Compliance Training Service manuals. Click here for information on REGCOM's Compliance Quarterly newsletter. Click here for a complete listing of titles authored by REGCOM.

Directors, management, and compliance officers/directors of risk management are often the ones to pick up the phone to make an initial inquiry about a REGCOM product or service. Client and subscriber feedback, however, confirms that the positive impact of REGCOM's work can be visible throughout all departments and with all staffing levels.

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