News & Achievements
News & Achievements
Enterprise-Wide Consent Order Remediation
A Tier-1 financial institution was operating under a restrictive Consent Order due to systemic failures in its risk management oversight. The institution faced looming deadlines, potential fines, and a freeze on expansion.
Our Path to Success:
Root Cause Analysis: We performed a deep-dive assessment to identify the underlying governance failures that led to the order.
Milestone-Based Framework: Our team established a rigorous "Consent Order Program Management Office" (PMO) to track every regulatory requirement against specific deadlines.
Validation & Sustainability: We didn't just fix the symptoms; we built a sustainable testing program to prove to regulators that the new controls were effective over the long term.
The Outcome: The regulator acknowledged the firm’s "dramatic improvement in compliance culture," leading to the formal lifting of the order.
Federal Regulatory Audit Prep (CFPB/OCC)
A national mortgage lender was notified of an upcoming joint examination by the CFPB and OCC. With legacy systems and decentralized data, the client feared significant findings related to consumer protection and fair lending.
Our Path to Success:
Mock Examination: We conducted a "full-dress rehearsal" audit, mimicking the specific questioning styles and data requests typical of the CFPB.
Gap Closure: We identified 15 high-risk areas in their loan servicing documentation and remediated them 60 days before the actual exam.
Executive Coaching: We prepared the leadership team for interview sessions, ensuring that their responses were data-backed and aligned with regulatory expectations.
The Outcome: The firm passed the examination with zero "Matters Requiring Attention" (MRAs) and received praise for their organized data reporting.
Resolution of Complex EEOC & Internal Investigations
A high-profile corporation faced a cluster of internal EEOC complaints that threatened to go public. The internal HR team was perceived as biased, and morale was declining rapidly.
Our Path to Success:
Independent Fact-Finding: As an objective third party, we conducted over 50 confidential interviews and analyzed thousands of internal communications.
Transparent Reporting: We delivered a comprehensive findings report that identified specific behavioral patterns and policy loopholes without organizational bias.
Remediation & Culture Shift: Beyond the investigation, we helped the client redesign their internal complaint-handling process and "Issue Management" workflow.
The Outcome: The matter was resolved through internal mediation, preventing multi-million dollar litigation and restoring trust within the workforce.
Compliance Program Digital Transformation
A mid-sized firm was struggling with an outdated, spreadsheet-based compliance system. Manual tracking led to missed deadlines and an inability to provide real-time risk reporting to the Board.
Our Path to Success:
System Integration: We replaced manual logs with a centralized GRC (Governance, Risk, and Compliance) platform tailored to their specific regulatory profile.
Automated Monitoring: We implemented automated alerts for regulatory changes from the FDIC and other bodies, ensuring the firm was never reactive.
Data Analytics: Our team built a dashboard that turned raw compliance data into actionable "Risk Scores" for executive leadership.
The Outcome: The firm reduced manual labor costs by 40% and achieved a state of "continuous audit readiness," where an audit could be started at a moment's notice with zero prep time.
Is Your Compliance Framework Audit-Ready?
Don't wait for a regulatory finding or an enforcement action to identify your vulnerabilities. Take a proactive step toward operational integrity today.
Join the organizations that have successfully navigated Consent Orders and Federal Exams using our Proprietary Risk Assessment Methodology.
Identify hidden gaps in your current compliance program.
Mitigate exposure to CFPB, OCC, and FDIC scrutiny.
Strengthen internal oversight and issue management.
