• Financial Institutions Qualifications and Services

    As financial transactions grow increasingly complex and expand globally, financial institutions’ risk rating models and monitoring systems face greater scrutiny. Download the Financial Institutions Qualifications and Services Brochure to learn more.

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Regulatory Compliance

Don’t worry, we’ve been through this before.

In the current regulatory environment, financial institutions frequently find themselves facing tough mandates and regulatory actions related to money laundering and terrorist financing. The potential sanctions and risk to reputation are daunting. Partnering with experienced consultants can provide the reassurance you need.

Kaufman Rossin can help you meet the regulatory requirements of the FFIEC, OCC, FRB, FDIC, NCUA, FINRA and SEC. Our risk advisory experts can be the perfect complement to your team. On matters as complex and sensitive as regulatory compliance, you need to know that your consultants’ experience, discretion, strategic vision and unbiased opinions will meet your expectations.

Our risk advisory services team has extensive experience assisting financial institutions with anti-money laundering (AML), Bank Secrecy Act (BSA), and Office of Foreign Assets Control (OFAC) compliance programs and with conducting complex money laundering and fraud investigations in North America, Central and South America, and the Caribbean.

Our experience includes:


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