Get In Touch


Call Us
Riddle Compliance
Riddle Compliance

Regulatory Compliance for Financial Services

regulatory compliance for financial services

Financial services organizations must comply with numerous federal and state regulations. These mandates are devised to ensure integrity in the marketplace and across all segments of finance. 

financial firms compliance consulting

Governance, risk, and effective regulatory compliance controls are critical functions of successful banks and financial services firms. Financial services organizations are heavily regulated, often by multiple agencies, to ensure consumer protection, transparent business dealings, and ethical conduct in the marketplace. Federal and state regulators require robust compliance departments comprised of substantive policies and procedures, routine internal auditing, third-party due diligence, fraud monitoring and identification, and a host of other best business practices. Riddle Compliance offers its clients comprehensive regulatory compliance consulting support. This can include an Outsourced Chief Compliance Officer solution, regulatory compliance advisory, monitoring and internal auditing for improved impartiality, and a host of risk mitigation initiatives. 

the financial services regulatory compliance landscape

  • U.S. Department of Justice 
  • Consumer Financial Protection Bureau – (CFPB)
  • Federal Trade Commission – (FTC)
  • Bank Secrecy Act and anti-money laundering compliance 
  • Securities and Exchange Commission (SEC) 
  • Financial Industry Regulatory Authority (FINRA) 
  • State financial agencies 

regulatory compliance consulting for financial organizations

  • CFPB-regulated entities 
  • FINRA-regulated entities
  • SEC-regulated entities 
  • CFTC-regulated entities 
  • FTC-regulated entities 
  • FinCEN-regulated entities 
  • State-regulated financial institutions

governance, risk, and regulatory compliance consulting for the financial services industry

Empowering employees, third parties, and other stakeholders to act ethically is a challenging task.  Companies, across various segments of financial services, are heavily regulated by federal and state agencies. With risk factors evolving on a daily basis, prudent financial services firms partner with Riddle Compliance to ensure compliance with regulatory mandates. Riddle Compliance understands the uniqueness of its financial services clients and believes in developing solutions to meet each client’s business needs and current risk profile. We are a business-oriented regulatory compliance consultancy that acknowledges the needs of our clients, the expectations of regulators, and the ethical underpinnings required to garner respect from the marketplace and consumers alike. 

some of the financial services compliance solutions we offer

  • Outsourced and Interim Compliance Staffing 
  • Outsourced and Interim Security Staffing 
  • Outsourced Internal Audit Services 
  • Management of corporate governance  
  • Risk-based auditing and monitoring 
  • Vendor management and third-party due diligence 
  • Anti-money laundering program review 
  • Mock exams and audit preparation
  • Corporate compliance trainings and workshops
  • Annual compliance audits 
  • Drafting, testing, and monitoring corporate conduct against policies and procedures
  • Gap analyses and risk assessments 
  • Internal and external investigations 

our financial services regulatory compliance solutions

Riddle Compliance understands the range of regulatory issues and considerations financial services organizations must manage to stay compliant, trustworthy, and relevant in the financial marketplace. We assist innovative financial firms, traditional financial services providers, and other ancillary enterprises with numerous compliance initiatives to meet their regulatory demands.