Independent Monitor

Credible and Reliable Independent Compliance Monitoring

As the regulatory environment grows increasingly complex, regulators often find themselves challenged to effectively allocate their resources, especially when following up on enforcement actions or other agreements with financial institutions that have been found noncompliant. To keep pace with growing workloads, regulators more and more are requiring financial institutions to engage qualified third parties to monitor the institutions’ compliance and remediation efforts and report findings independently to regulating agencies.

This practice presents regulated institutions with yet one more challenge: In addition to their own compliance and remediation efforts, they must find and engage a qualified and credible independent monitor that will meet regulator approval.

How Crowe Horwath LLP Can Help

Crowe provides financial institutions and regulators with independent third-party monitoring capabilities across a broad range of risk management and regulatory compliance issues. With more than 50 years of experience and a staff of dedicated financial, accounting, and compliance specialists who exclusively spend their professional time in the financial services industry, Crowe has the needed capacity and capability.

Crowe has developed a reputation for credibility, expertise, and objectivity in a wide variety of independent monitoring engagements and related assignments including:

Regulatory Response and Remediation
Learn more about specific Crowe capabilities and experience on a variety of regulatory response and remediation issues. Learn More.

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Gary W. Lindsey