Financial & Regulatory Risk Services

Building a culture of trust and integrity starts with putting effective controls in place

Helping organizations mitigate financial risk and navigate the ever-changing regulatory landscape

When it comes to the world of regulatory compliance, getting it wrong is simply not an option. It’s worth repeating that regulations change at an ever-increasing speed. Rather than feeling lost or behind, what if you could reframe your response and think of your regulatory journey as an opportunity to fuel transformation and growth?

We understand the challenges you're facing. Our team's approach to helping you feel prepared and meet compliance requirements is predicated on a comprehensive top-down and risk-based approach. This allows us to focus our efforts on the most critical activities and provide you with a tailored solution, thus eliminating redundancies. We've created a robust approach that evolves with the regulatory landscape and keeps pace with the existing requirements of the SEC and the PCAOB.

Financial and Regulatory Risk Services That Enable Compliance

Based on your specific regulatory requirements, we have top-level expertise in the following areas:

Internal Controls Over Financial Reporting

Whether you’re a public company, a firm providing financial services to public companies, or an insurer, compliance with SOX, J-SOX, and MAR can help create value beyond passing an audit.

Mitigate and manage regulatory risk by leaning on our team of dedicated professionals with many years of experience solidified by industry designations (CPA, CIA, CISA). Reviewing your controls with precision, we help you eliminate gaps and remediate control inefficiencies so you can gain peace of mind.

SOX Services

National Security Advisory

If you’re considering a future foreign transaction or are a U.S. company involved with foreign direct investment, it’s important to understand how foreign ownership, control, or influence (“FOCI”) impacts national security and your reporting requirements to the U.S. government.

This process doesn’t have to be overwhelming. Lean on our deep expertise in Committee of Foreign Investment in the United States (“CFIUS”), the Defense Counterintelligence Security Agency (“DCSA”), Team Telecom, cyber, and compliance to help you address potential national security risk points.

CFIUS Advisory Services

Anti-Money Laundering

The landscape today is primed for widespread financial fraud and financial crime. Non-compliance with AML and sanctions requirements can have devastating effects on any financial services business.

Our team of Certified Anti-Money Laundering Specialists (“CAMSs”) and former compliance officers provide the expertise and guidance you expect to help you avoid massive fines and manage sanctions-related risks.

Anti-Money Laundering

Consumer Financial Regulatory Compliance

With the increased scrutiny financial institutions are facing from regulatory agencies and the potential for financial penalties and reputational damage, it is critical to have a comprehensive compliance program tailored to the risks of your organization. Identifying, understanding, and successfully complying with these regulatory requirements can be challenging and time consuming.

Manage your compliance risks and improve the efficiency of your compliance program with our team of experienced professionals, including Certified Regulatory Compliance Managers (CRCMs), that will help you navigate the complex and everchanging regulatory environment.

Regulatory Risk and Compliance Solutions

ESG Reporting

To help achieve transparent and accurate reporting—whether for stakeholders, clients or the C-suite— companies are leveraging internal audit because its role has always been to help identify and address risks, whether financial, regulatory, technological, operational or, now, environmental. As with any internal audit, our approach begins with gaining an understanding of the underlying ESG risks, their potential effects on the company, and what management has in place or is looking to put in place. This can be done as a deep-dive internal audit or incorporated as an element across internal audits performed at an organization.

Learn about ESG Reporting Services

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Nina Kelleher

Nina Kelleher is a Partner and is the National Practice leader for the EisnerAmper’s Risk and Compliance Services (RCS) practice, with more than 15 years in the risk and regulatory space.

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