FIRM Advisors, LLC -- A minority owned and operated company of Practitioner Subject Matter Experts from the Industry

Regulatory and Governance Advisory

We are different from most other Regulatory consulting firms; our lead consultant have demonstrated front-line execution and governance experience, working to solve regulatory and governance issues to the satisfaction of regulators and auditors.

  • We develop comprehensive policies and procedures to manage operational risks
  • We perform expert peer review of critical functions and governance processes.
  • We perform verification of critical models and processes (CCAR, Sress testing, VAR, etc.) for regulatory requirements.
  • We evaluate each client's need for and status of compliance, and implement solutions.

    • Dodd-Frank requirements

    • SOX requirements

    • Basel rules

    • CFTC rules

  • As subject matter experts, we also serve as agents of clients to validate the quality and timeliness of work deliveries of other vendors.