Regulatory Solutions

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Helping Finance Leaders 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.

Regulatory Solutions that Instill Assurance

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

SOX/J-SOX/MAR

CFIUS

AML

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.

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If you’re considering a future foreign transaction or are a U.S. company involved with a foreign acquirer or investor, it’s important to understand your CFIUS reporting obligations. 

This process doesn’t have to be overwhelming. Lean on our deep expertise in CFIUS, information security, compliance, and national security to help you address potential risk points, complete due diligence to satisfy U.S. regulations, and keep you in compliance.

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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.

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Meet Your Regulatory Solution Guides

Our regulatory team is comprised of highly skilled and credentialed individuals with a reputation for delivering value-creating innovation to our clients. Our team members serve on local boards and maintain national leadership roles for the Institute of Internal Auditors, ISACA, Securities Industry and Financial Markets Association, Insurance Accounting and Systems Association and ACAMS, as well as various state accounting societies.

We pride ourselves on our ability to combine our heritage as one of the most prestigious and trusted accounting and tax firms globally with the latest emerging technologies. 

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Nina Kelleher
Partner

Nina is the National Leader for Risk Advisory services and is a Financial Services industry SME with over 15 years’ experience.

Alan Frank
Partner

Alan is a partner in the EisnerAmper Digital practice with over 25 years of experience in internal audit and regulatory solutions.

Michael Rose
Partner

As a partner and National Practice Leader for the firm’s CFIUS Advisory Services, Michael is a thought leader with over 35 years of experience.