Risk management is crucial for institutions
But today’s ever-changing regulatory environment makes it difficult to stay compliant and address new risks — all while maintaining a strong balance sheet.
Wipfli can help. Our risk and regulatory compliance specialists understand the intricacies of financial institutions. Leveraging decades of experience, they assist clients with proactively developing best practices and risk management strategies, identifying and mitigating existing risk, preparing for audits and much more.
Regulatory compliance services
Maintain an effective compliance program with Wipfli. We help with everything from compliance monitoring and support to policy and procedure development to answering your day-to-day compliance questions.
FDICIA compliance services
Institutions approaching $500M or $1B in assets may rapidly find themselves noncompliant with FDICIA requirements. Let our team of FDICIA specialists guide your institution along each step of the compliance process.
Loan review and loan portfolio services
Whether you need a one-time loan review or periodic ongoing reviews, Wipfli’s seasoned loan review professionals can confirm the quality and consistency of risk ratings and credit administration to address various risks.
Trust and fiduciary services
Financial institutions offering trust services to customers are required to have a third party perform an independent audit of their trust operations. Wipfli can assist you with audit planning, risk assessments and more.
Is your institution carrying too much concentrated risk? Let Wipfli help you manage interest rate risk and liquidity risk, develop a comprehensive ALM framework and validate ALM processes, train your management and board and much more.
BSA program independent audit and system validation
Maintaining compliance with the Bank Secrecy Act (BSA) takes time and resources. Help ensure a healthier BSA program that passes regulatory exams with ease with an independent audit or system validation from Wipfli.
Featured Thought Leader
Kathy Enbom, CRCM
Kathy Enbom is a leader of the firm’s regulatory compliance and Bank Secrecy Act (BSA) services. She has an extensive background in regulatory compliance, marketing, and leadership that includes significant training in developing, delivering, and implementing instructional programs. Kathy uses this experience to enhance consultative interaction by providing guidance and resources to assist clients in improving their overall compliance management system.
Melissa D. Blaser, CPA, CRCM, CAMS, CFSA, CFIRS
Melissa Blaser leads the regulatory compliance and Bank Secrecy Act practice for the firm. She assists financial institutions in navigating the complex requirements included within consumer federal bank regulations. Melissa has 25 years of experience in regulatory compliance, internal audit, and public accounting for the financial services industry within a Bank environment and within a public accounting/consulting firm.
Carrie Connell, CPA
Carrie has over 15 years of experience in assisting clients with Sarbanes-Oxley Section 404 compliance for accelerated filers and smaller reporting companies, FDICIA compliance, and operational and financial internal audits. She helps both public and private financial institutions ready themselves for and comply with SOX/404 and FDICIA reporting requirements and provides ongoing consultative advice to clients to continuously improve their programs.
Sonny MacArthur, CPA, CIA
Sonny MacArthur routinely works with both public and private companies primarily in the financial services arena. He has extensive accounting, auditing and financial reporting experience including public and private equity and debt offerings, mergers and acquisitions and SEC reporting. Sonny works in our risk advisory group, focusing chiefly on risk assessments, financial and operational internal audits, Sarbanes-Oxley 404 compliance and FDICIA compliance.
Sarah G. Lutzke, CIA
Sarah leads the internal audit service line for Wipfli. Still deeply involved with her clients, Sarah leads outsourced internal audit engagements and manages co-sourced arrangements, ensuring Wipfli’s risk management consulting assistance is tailored to the individual circumstances of each client. Sarah has the experience and ability to evaluate controls within a process and provide sensible recommendations to strengthen operating environments.