Independent Regulatory Advisory
Risk is complicated.
Your advice shouldn’t be.
Executive-level regulatory, risk and assurance expertise for financial institutions and fintechs.
Independent perspective. Practical solutions. Defensible results.
RMDS Consulting delivers specialized, risk‑based compliance audits that go beyond checklists to test how well regulatory requirements are embedded in your policies, processes, systems, and controls—identifying gaps before they become exam findings.
Wall Street experience. Fintech perspective. Boutique attention.
I've been inside these organizations; I understand what happens when the regulator walks through the door.
When RMDS Gets the Call
An examination is approaching.
A finding isn't getting closed.
A fintech relationship is creating questions.
Management needs independent validation.
The audit function needs to be built—or strengthened.
The documentation says “complete.” The evidence says otherwise.
FOCUS AREAS
Building an Audit Function • Risk and Control Matrix • Policy & Procedures • Risk Assessments (Audit, CMS, Fair Lending, BSA/AML) • Complaint Management • Exam Readiness
SPECIALTY AUDITS
Financial Crimes Compliance (BSA/AML/OFAC) • Red Flags & Identity Theft Prevention Programs • FCRA Compliance • ECOA Adverse Actions • Vendor Management • NACHA / ACH Audits • Clearinghouse RTP
More than an audit, we bring senior‑level regulatory, risk, and assurance experience to clarify why issues exist, the risk they create, and the practical steps needed to remediate them.
Have a regulatory, risk or assurance challenge?
Let’s talk through it.
Schedule a Confidential Consultation
Our Services
Regulatory Strategy
We develop comprehensive regulatory roadmaps that align your business objectives with evolving global compliance standards.
Compliance Audits
Our rigorous audits identify critical vulnerabilities and ensure your operations meet compliance standards. We’ll provide a full-service compliance review and monitor your activities to ensure you stay compliant.
Independent Testing
For regulatory compliance standards that require independent testing, such as Bank Secrecy Act/Anti-Money Laundering (BSA/AML) compliance, we’ll work with your team to evaluate the effectiveness of your compliance program.
Policy Development
We will help you develop regulatory compliance policies and procedures or assess the ones you have in place.
Regulatory & Exam Readiness
- Regulatory Response & Remediation Support
- Matters Requiring Attention (MRA) Tracking
- Governance & Board Reporting
Training & Education
We deliver authoritative training programs that empower your workforce with the knowledge required for effective regulatory compliance.
Expertise & Authority
20+ Years Industry Leadership
Deep-rooted expertise in global regulatory frameworks and corporate governance.
Global Regulatory Network
Extensive connections across international regulatory bodies and industry standards.
Strategic Compliance Solutions
Proven track record in delivering technical precision and corporate authority to clients.
REGULATORY COMPLIANCE • GLOBAL STANDARDS • STRATEGIC ADVISORY • INDUSTRIAL EXCELLENCE •