Risk and Compliance

 
 

Our Risk and Regulatory Compliance Practice has emerged as one of our flagship practices as our reputation in this area has gained notoriety on a national scale across industries, particularly in the banking and financial communities. 

We have serviced clients throughout the US including New York, Boston, Syracuse, Nashville, Los Angeles, Dallas, Philadelphia, Miami, Pittsburgh and a host of other major cities. 

Our specializations include:​

  • AML, BSA, KYC, OFAC Subject Matter, Investigations, Look-back, and Program Management

  • Investor Advisor Act of 1934 and 1940

  • FATCA 

  • Compliance and Financial Fraud Systems Technology

  • Basal I, II, III

  • Regulatory Financial Reporting

  • Risk Methodology and Governance Standards

  • Market and Capital Markets Trading Risk

  • Technology Risk