Regulatory Compliance Advisory Services

Financial regulatory compliance has never been more difficult to achieve. The transition from technically-focused regulations to principles-based enforcement has caused a significant paradigm shift in how regulatory compliance programs are developed. It is easy to find what is wrong. It’s much harder to design effective programs within the current regulatory regime. 

At Treliant we are focused on execution. Our team of seasoned professionals specializes in formulating comprehensive and customized regulatory strategies for financial institutions. We are experts in designing regulatory programs that will work and we can help execute them for measurable results.

Treliant professionals are experienced industry professionals that are results-focused. Our compliance risk management team will build a road map to regulatory excellence and industry best practices. 

We provide our clients with critical advice and solutions in:

Compliance Program Development

  • Strategic Advice on Approach, Scope, Management, and Structure
  • Compliance Management System (CMS) Evaluation 
  • Risk Assessments
  • Consumer Compliance Program Build
  • Regulatory Filings and Submissions
  • Compliance Program Efficiency Reviews
  • Program and Product Gap Analyses
  • Change Management Advisory and Implementation Services

Fair Lending and Community Reinvestment Act (CRA)

  • Fair Lending and CRA Program Evaluation, Development, and Enhancement 
  • Developing and Improving Fair Lending and CRA Programs
  • Risk Assessments
  • Statistical Analyses, including Regression Analyses and Model Validation
  • CRA Strategic Plan Assistance
  • CRA and Home Mortgage Disclosure Act (HMDA) Data Integrity Validations ("scrubs")
  • HMDA and CRA Submission Assistance
  • Marketing Program Assessments
  • Market Penetration Analyses
  • Redlining and Lending Performance Reviews
  • Matched Pair Testing and Self-Testing
  • Indirect Auto and Proxy Analyses
  • Review of Line of Business Controls (including Fair Lending, HMDA, and CRA)
  • Examination Management

Strengthening the Compliance Program

  • Compliance Program Strategic Planning
  • Compliance Risk Management Program Evaluation and Enhancement
  • Developing and Improving Complaint Management Systems
  • Structure and Staffing Reviews
  • CFPB, OCC, FDIC, and FRB Readiness Checks
  • Risk Assessments
  • Risk Metrics Program Development, including Monitoring, Testing, and Reporting
  • Enhancing Risk Controls
  • Efficiency Evaluations
  • Training/Board Training
  • Staff Assessments
  • TILA-RESPA Compliance Implementation, Training, and Executive Briefings

UDAAP Readiness—Unfair, Deceptive or Abusive Acts or Practices

  • UDAAP Readiness Checks
  • UDAAP Risk Assessments
  • UDAAP Controls Reviews
  • UDAAP Product Reviews
  • UDAAP Audits
  • New Product Due Diligence Reviews
  • Monitoring and Audit Reviews
  • Metrics and Reporting Development and Implementation
  • Training
  • UDAAP Gap Analyses

Compliance Reviews

  • Regulatory Exam Readiness Reviews
  • Product Reviews/Gap Analyses (Indirect Auto, HELOC, Student Loans, Credit Cards, Mortgage Loans, Prepaid Cards, etc.)
  • Regulatory Compliance Remediation Projects and Lookbacks (UDAAP, RESPA, Mortgage Rules, Credit Cards, Flood, Regulation E, Auto Loans, Private Banking, etc.)
  • Strategic Advice on Monitoring and Testing
  • Mock Audits and Examinations
  • Quality Control/Quality Assurance Validations


  • Comprehensive Regulatory Compliance Training
  • Board and Executive Leadership Training
  • Training Program Development
  • Regulatory “State of the Industry” Briefings
  • Internal Leadership Roundtables/Symposiums addressing Key Industry Issues
  • Strategic Compliance Planning with Leadership Teams

Trusted Advisor

  • Strategic and Regulatory Advisory Services

Staff Augmentation/Co-Sourcing

  • Onsite Long-term Staff Secondment
Kathlyn L. Farrell, Managing Director of Treliant Risk Advisors, addresses UDAAP - Unfair, Deceptive, or Abusive Acts or Practices.



Treliant has the advisory expertise and technical capacity to assess your compliance and fair lending programs, advise on necessary changes, and assist with implementation.

Learn more about Treliant's Fair Lending Advisory Services.


Treliant's experts specialize in assisting FinTech companies tailor regulatory compliance programs to specifically meet their needs.

Learn more about Treliant's FinTech Advisory Services

Contact Us To Request

  • 10 Questions For UDAAP Gap Analysis Determination
  • Regulatory Compliance Brochure
  • New Product Fairness Scorecard