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As the regulatory environment continues to evolve, the need for better and improved control structures becomes ever more imperative. While organizations generally become more control conscious, there continue to be gaps and alignment issues that need to be addressed through design, testing, and documentation.


Falcon Capital Advisors’ regulatory and compliance experts are here to help you identify, analyze, and manage your regulatory and internal risk exposure. Through the development of dynamic regulatory compliance programs, we help our clients protect their reputation, maximize the benefits of investment, and achieve the risk profile needed to protect growth.

Regulatory Policy and Process Assessment

Over the past decade, organizations have faced unprecedented regulatory changes. Compliance standards, regulations and internal policies have brought new challenges which must be tackled in a cost-effective manner.


Our regulatory policy and process assessments will develop comprehensive regulatory outlook strategies that take your business’ unique, value driving processes into account. By aligning your governance and risk profiles to key business activities, we can help you anticipate and mitigate the costs of regulatory and policy changes.  

Regulatory Compliance

Based on federal government data, past reports, and contemporary studies, it has been estimated that the aggregate regulatory compliance and economic impacts of federal intervention exceeded approximately $1.88 trillion in 2016.


The impact of regulatory changes cannot be ignored – uncertainty on current and pending regulation can stifle business productivity and investments and impede growth. Falcon Capital Advisors has the regulatory and industry experience needed to help clients gain a clear understanding of regulators’ expectations and structure compliance activities in a manner that meets, and typically exceeds, those expectations. Some of our specialized services include, but are not limited to:

  • Loan file compliance review

  • CFPB exam readiness review

  • Mortgage insurance claims review

Monitoring, Testing, and Remediation

Our monitoring, testing, and remediation services are designed to prevent, test for, and resolve breakdowns in regulatory compliance. Falcon Capital Advisors has developed remediation programs for government agencies and financial institutions across the globe. Some of our specialized services include, but are not limited to:

  • Implementation Assessment

  • Best Practices Assessment

  • Gap Analysis

  • SWOT Analysis

  • Regulatory Compliance Plans

  • Risk Mitigation Plans

  • Correct Action Plans

Let our expansive process and control analysis experience and industry expertise guide you through the regulatory actions, examinations, or remediation issues you may face.