CLARITY FOR DECISIONS THAT WILL BE EXAMINED.

Regulatory Risk Advisory

Advisory for institutions operating under regulatory scrutiny.

Regulatory expectations continue to evolve. Oversight intensifies. Decisions made today are often assessed by examiners, legal advisors, auditors, counterparties, or boards, frequently with more context than was available at the time.

Foodman CPAs & Advisors provides regulatory advisory support focused on how exposure is identified early, how regulatory requirements are applied, and how decisions are assessed under examination.

What We Address

Institutions rarely struggle due to lack of effort. They struggle because:

Expectations shift faster than internal processes
Interpretation varies across jurisdictions and stakeholders
Documentation does not fully support decision
Exposure becomes visible only after decisions are made

Our work addresses these gaps before they become findings.

Additional Regulatory Compliance Support Regulatory support and training for institutions navigating ongoing compliance questions.

Regulatory Help Desk

How we support clients

Our work is structured but not standardized.

Each engagement is shaped by the institution’s operating model, complexity, and regulatory environment.

Select a service to view details:

Correspondent Banking Compliance Advisory

Support for institutions managing correspondent banking relationships under regulatory scrutiny.

Assessment of correspondent banking suitability and exposure
Review of controls and decision processes
Support for relationship evaluation and regulatory considerations

AML/CFT, Sanctions, FATCA/CRS, and CARF Assessments

Review of programs, controls, and requirements across AML/CFT, sanctions, and tax reporting obligations.

Identification of gaps and inconsistencies
Evaluation of how controls are applied
Documentation of findings that can be reconstructed from the record

Examination Readiness

Preparation for regulatory review and examination, with focus on how decisions are assessed and supported.

Review of documentation and supporting records
Identification of areas requiring remediation
Preparation for regulatory interaction and response

Board and Executive Consulting

Support for oversight, accountability, and decision-making at the leadership level.

Review of governance structures
Support for escalation and oversight processes
Assessment of decisions subject to internal or external review

How the Work Fits Together

Shift from reactive compliance to structured, forward-looking decisions.

Our cohesive model:

Correspondent Banking Compliance Advisory identifies exposure and how requirements are applied.
Assessments document gaps, inconsistencies, and how controls are applied.
Board and Executive Consulting support decisions that can be reconstructed from the record.

Who this applies to

Financial institutions under scrutiny

Compliance and AML/CFT leadership

Executive management and boards

Organizations operating across jurisdictions

The Result

Clear understanding of regulatory exposure.

Decisions that are documented and supported by the record.

Consistency between operations and oversight.

Regulatory expectations continue to evolve. Decisions made today will be assessed later. Engage before scrutiny intensifies.

Connect with us to strengthen clarity and alignment.

Additional Regulatory Solutions from Foodman CPAs & Advisors

ON-DEMAND CUSTOMIZED SUPPORT

Regulatory Help Desk

Our experts. Your questions.
Guidance when interpretation matters.

The Regulatory Help Desk provides subscription-based, on-demand regulatory support for institutions facing complex compliance questions.

Access experienced professionals who understand how regulators set expectations and how examiners access your decisions in practice, with timely guidance when interpretation and timing matter most.

Scenario-based, role-based training