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Regulatory Consumer Compliance

With the passage of the Dodd/Frank Act and the creation of the Consumer Finance Protection Bureau, banks have never received more scrutiny over their products and services with regard to consumers.  Regulator identification of these risks can often result in assessments, reimbursements, and more importantly elevated reputational risk.  Managing this risk, as well as developing strong relationships with regulators has become more important to successfully operating in today's banking environment.  Responding quickly to regulatory requests, especially when under informal or formal supervisory actions, is critical to the supervisory process and could lessen chances of elevated supervisory attention.


In addition, anticipating regulatory issues, and discovering and addressing bank-wide problems before examiners arrive at the bank for an examination can help prevent the need for extensive supervisory follow-up including the ability to reduce or eliminate assessments or reimbursements. 

  • Consumer Compliance program assessment

  • Compliance examination preparation

  • Product risk assessments

  • Consultation and assistance in responding to regulatory issues

  • New product evaluation

  • Program development and training



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Contact Information:

Phone: 303-903-9369

Mail: 75 S. Joyce Street, Golden, CO 80401

EMail: Jim@bankstrategiesllc.com