Our experts hold various compliance certifications (CRCM, CAMS, CFSA, AMLP) to stay up-to-date with the dynamic regulatory environment affecting the financial institution industry. We can customize our compliance services to suit your specific needs, offering compliance audits, compliance management, compliance training, compliance monitoring, and implementation assistance.

With our extensive experience in compliance services, we have developed a deep understanding of the risks associated with regulatory compliance and the essential operational and system controls that help mitigate these risks.

From Regulation, A to Regulation II and beyond, our compliance expertise spans all regulatory areas affecting financial institutions.

Our services can encompass:

  • Regulatory compliance audits
  • Regulatory compliance training
  • Regulatory compliance consulting/administration
  • Risk assessments
  • Policy & procedure development
  • Monitoring plan development
  • Compliance committee assistance
  • Regulatory updates
  • Exam consultation and remediation assistance
  • BSA / AML examinations
  • BSA / AML model validations
  • Red flag examinations
  • Unfair, Deceptive, Abusive Acts and Practices (UDAAP) reviews
  • Fair lending statistical analysis & review
  • HMDA / CRA data reviews
  • GLBA compliance reviews
  • Debt collector compliance reviews

Herbein Risk Management is a division of Herbein + Company, Inc., formed in 2013 when Financial Outsourcing Solutions (FOS) joined Herbein.

Herbein’s Risk Management division is a leading provider of risk management services, including internal control, information technology, cybersecurity, and financial institution regulatory compliance services to clients for over 27 years.