Compliance & Regulatory Consulting

Complying with domestic and international banking and money laundering laws and regulations presents a constant challenge to financial institutions, corporations, private equity firms, hedge funds, casinos, and pari-mutuel wagering facilities.

BRG professionals work with clients to avoid the pitfalls associated with compliance shortcomings in Bank Secrecy Act (BSA), Anti-Money Laundering (AML), Office of Foreign Asset Control (OFAC), and other financial sanctions regimes. They work closely with clients to strengthen governance around AML programs to minimize risks posed by international commerce in a heightened regulatory environment. Drawing on decades of experience, our teams are skilled at evaluating antimony compliance programs, including policies and procedures; assessing technology, such as interdiction and transaction-monitoring systems; and undertaking due diligence on high-risk customers and counter-parties. We have the experience and capabilities to undertake large-scale transaction reviews and lookbacks, conduct know your- customer research and analysis, prepare suspicious activity reports and other required filings, and advise clients and their counsel with self-disclosing violations to regulators, as necessary.

Certain investigations are conducted by licensed BRG entities, including: Berkeley Research Group Texas, LLC (A18094); Berkeley Research Group Investigatory Services of Illinois, LLC (Illinois 117001723 and Michigan 3701206962); Berkeley Research Group of Florida, LLC (A 1400243); BRG Investigations, LLC f/k/a Berkeley Research Group Investigatory Services of New York, LLC (11000189295).