Compliance

The list of regulations impacting the financial services industry is long and complex. At RKL Risk Management, we recognize that compliance is not just a responsibility, but also an opportunity. Our team is focused on helping banks and credit unions of all sizes face the rigors of regulatory compliance and emerge more productive, risk-aware and efficient.

RKL Risk Management is proud to serve as a trusted compliance advisor to so many financial institutions throughout the Mid-Atlantic. Our experienced team has its finger on the pulse of the rapidly changing regulatory environment, so we can help our clients understand and meet their responsibilities. But we also seize the chance to improve an institution’s risk management function and streamline its internal control structure beyond compliance.

Focused on lending and deposits compliance, RKL Risk Management tailors its compliance services to meet the unique needs and circumstances of each financial institution we are privileged to serve. Whether it is a small, targeted review, a compliance audit, risk assessment or onsite staff training, RKL Risk Management is equipped to serve all your financial institution’s compliance risk management needs.

RKL Risk Management Compliance Services

  • Retail lending compliance reviews, including TRID
  • Commercial lending compliance reviews
  • Home Mortgage Disclosure Act data validation
  • Bank Secrecy Act (BSA)/Anti-Money Laundering (AML) training
  • AML system validation
  • Various banking-related risk assessments: Compliance, Gramm–Leach–Bliley Act (GLBA), Red Flag, Fair Lending, BSA/Office of Foreign Assets Control (OFAC)
  • Process reviews of business units or functional areas
  • Deposit and website compliance reviews
  • Compliance training: Fair Lending, Regulation O, Flood, GLBA/Privacy, Truth in Lending Act/Real Estate Settlement Procedures Act
  • Project-based consulting

Our Exclusive Focus on Your Lending and Deposit Compliance Needs

RKL Risk Management has decades of experience serving financial institutions. Our team understands that compliance is not only a requirement to address regulatory concerns, but also an opportunity to strengthen internal controls and processes. RKL Risk Management’s compliance services offers clients a number of benefits, including:

  • Improved compliance exposure awareness
  • Tailored compliance assessment plans
  • Enhanced risk management reviews
  • Reduced/controlled costs
  • Improved coordination with examiners

OTHER SERVICES


Internal Audit

We deliver personalized internal audit services with a risk-based approach We will help you expand your audit across all business functions, and identify risk mitigants along the way – with a minimal number of staff.

More

IT Audit – Cybersecurity

We recognize that technology evolves, and with it, related data security risks. We create transparency across your organization regarding the risks involved with your entire IT infrastructure so you can protect your customer’s privacy and mitigate current and future risk.

More

Credit Union Solutions

We understand that credit unions are feeling the pressure of meeting more stringent regulatory demands with less budget and staff. We deliver affordable and efficient solutions.

More