Financial Institution Regulatory Compliance, Procedures, Training and Auditing

Serving businesses throughout Greenville, Raleigh, Rocky Mount, Tarboro, New Bern and all of North Carolina

Our Office
William F. Hill Attorney At Law
708 Cromwell Drive
Suite D
Greenville, NC 27858


Mailing Address
P.O. Box 2517
Greenville, NC 27836


Phone: 252-355-4277
Fax:      252-355-2797

Financial Institution Regulatory Compliance, Procedures,
Training and Auditing

 

All of us function in an increasingly complex maze of state and federal laws and regulations focused on consumer protection, and a proliferation of regulators at the state and federal level. Failure to have the proper written policies and procedures in place when audited by a regulatory agency can result in significant liability and expense, even in no violation of any law or regulation has occurred.

Even if a financial institution has appropriate written policies and procedures, failure to properly train management and staff can result in significant liability from both regulatory fines and penalties and civil litigation. Failure to monitor whether management and staff are properly following these procedures and failure to conduct external audits of written policies and procedures, contractual provisions, loan applications and privacy policies, training procedures and actual training and possible regulatory or legal violations by employees can create significant cost and liability, at times placing the continued existence of your business at risk.

We have the resources to ensure that you have written policies and procedures which will survive the scrutiny or regulators or plaintiffs’ attorneys, assist in training, review existing documentation to ensure compliance with all applicable federal and state laws and regulations and conduct external audits of your business to ensure compliance. We an offer very competitive pricing for these services, given our research abilities and experience.