Consulting Services to Meet the Specialized Needs of Community Banks, De Novo Banks, Credit Unions, Broker-Dealers and Insurance Companies

Warren Averett’s Financial Services consulting professionals understand the unique needs of financial institutions, whether we’re providing auditing, regulatory compliance consulting, accounting or tax consultation services or advising on operational efficiencies. Our team is a trusted, experienced resource that not only stays on top of shifting dynamics affecting your business but guides you with agility and accuracy and ensures full compliance.

Our Financial Services consulting professionals at Warren Averett are experts in serving:

  • Community Banks
  • De Novo Banks
  • Credit Unions
  • Regional Banks
  • Broker-Dealers
  • Insurance Companies

Whether you’re adapting to CECL implementation, seeking a risk assessment for IT infrastructure or looking for proven advice to become more efficient, our team understands your unique needs and challenges and is here to help.

Community Bank Consulting Services to Navigate Your Future

Our community bank consulting services are designed around the needs of your specific organization. With the right experience and financial acumen, our banking consultants can advise on the best ways to position your organization to succeed in this highly regulated landscape, whether you’re developing internal controls, implementing controls for FDICIA, readying for an FFIEC IT audit, navigating the multitude of needs that arise quickly following bank mergers and acquisitions or pursuing tax preparation guidance.

Community Bank Planning and Operations

  • Capital enhancement planning
  • Due diligence; merger and acquisition assistance
  • Fraud investigations/litigation support
  • Internal control design and implementation
  • Operational performance and efficiency reviews
  • Receivership services
  • Regulatory compliance controls, consulting and examination assistance
  • Regulatory order consulting and assistance
  • SOX/FDICIA consulting
  • Stock options and restricted stock analysis
  • Strategic planning
  • Enterprise Risk Management

Audit, Compliance and Tax Services

  • External financial statement audits
  • Internal audits
  • Internal audit risk assessment
  • Regulatory compliance consulting examinations/reviews
  • Bank Secrecy Act/Anti-Money Laundering compliance audits
  • Director and Supervisory examinations
  • Employee benefit plan audits
  • Information technology examinations
  • Asset/liability management
  • Loan reviews
  • Automated Clearing House (ACH) compliance audits
  • Federal Reserve online reporting
  • Securities and Exchange Commission reporting
  • Statutory financial statement audits
  • Federal/state tax prep and planning
  • Executive tax services
  • Mergers and acquisitions
  • Subchapter S conversion
  • Tax compliance services
  • Federal, multistate and local tax planning
  • Student loan portfolio audits
  • Compliance and internal auditor training
  • Enterprise Risk Management

Banking Roundtables:

Interested in learning how peers are managing today’s top challenges regarding regulatory compliance? Sign up to receive notice of upcoming Warren Averett Banking Roundtables.

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Positioning De Novo Banks for Success

From guiding de novo bank operational and regulatory compliance processes, our experienced banking consultants are here to help your organization to reduce risk and optimize its resources every step of the way. Our team is able to assist de novo banks with the challenges that are unique to them, including examination assistance, operational and regulatory consulting, establishing IT best practices and maintaining compliance with the Federal Financial Institutions Examination Council Information Technology Examination Handbooks, the Information Technology Risk Examination (InTREx) Program and Gramm-Leach-Bliley Act (GLBA) Procedures for Financial Institutions.

De Novo Bank Planning and Operations

  • Capital enhancement planning
  • Fraud investigations/litigation support
  • Internal control design and implementation
  • Operational performance and efficiency reviews
  • Regulatory compliance controls, consulting and examination assistance
  • Regulatory order consulting and assistance
  • SOX consulting
  • Stock options and restricted stock analysis
  • Strategic planning

Audit, Compliance and Tax Services

  • External financial statement audits
  • Internal audits
  • Internal audit risk assessment
  • Regulatory compliance consulting examinations/reviews
  • Bank Secrecy Act/Anti-Money Laundering compliance audits
  • Director and Supervisory examinations
  • Employee benefit plan audits
  • Information technology examinations
  • Asset/liability management
  • Loan reviews
  • Automated Clearing House (ACH) compliance audits
  • Federal Reserve online reporting
  • Securities and Exchange Commission reporting
  • Call report consulting
  • Federal/state tax prep and planning
  • Executive tax services
  • Mergers and acquisitions
  • Subchapter S conversion
  • Tax compliance services
  • Federal, multistate and local tax planning
  • Student loan portfolio audits
  • Compliance and internal auditor training

Banking Roundtables:

Interested in learning how peers are managing today’s top challenges regarding regulatory compliance? Sign up to receive notice of upcoming Warren Averett Banking Roundtables.

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Strategic, Trusted Credit Union Consulting

Finding your way in a rapidly changing environment is challenging. Having solid, experienced advisors helps. Warren Averett is proud to serve credit unions of all sizes with its accounting, auditing, compliance, tax and consulting capabilities. Some members within our Financial Services Practice Group have dedicated their careers to serving credit unions, whether assisting in accounting standards, regulatory compliance, merger and acquisition assistance, internal credit union audits or technology reviews and compliance. As such, we have been recognized among the nation’s top credit union consulting firms.

Credit Union Planning and Operations

  • Due diligence; merger and acquisition assistance
  • Fraud investigations/litigation support
  • Internal control design and implementation
  • Operational performance and efficiency reviews
  • Conservatorship services
  • Regulatory compliance controls, consulting and examination assistance
  • Regulatory order consulting and assistance
  • Strategic planning

Audit, Compliance, and Tax Services

  • External financial statement audits
  • Internal audits
  • Regulatory compliance consulting examinations/reviews
  • Bank Secrecy Act/Anti-Money Laundering compliance audits
  • Supervisory examinations
  • Employee benefit plan audits
  • Information technology examinations
  • Asset/liability management
  • Accounting for credit unions
  • Loan reviews
  • Automated Clearing House (ACH) compliance audits
  • Federal Reserve online reporting
  • Call report consulting
  • Federal/state tax prep and planning
  • Executive tax services
  • Mergers and acquisitions
  • Tax compliance services
  • Student loan portfolio audits
  • Compliance and internal auditor training

Credit Union Roundtables:

Interested in learning how peers are managing today’s top challenges regarding regulatory compliance? Sign up to receive notice of upcoming Warren Averett Credit Union Roundtables.

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Comprehensive Broker Dealer Consulting

We are a Public Company Accounting Oversight Board (PCAOB) registered firm; therefore, we meet requirements to serve as your auditor under the Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), Commodity Futures Trading Commission (CFTC) and National Futures Association (NFA).

In addition, Warren Averett provides brokers and dealers with internal audit services, anti-money laundering (AML) reviews and other financial regulatory compliance support, cybersecurity and IT reviews and tax services. Our broker-dealer consultants can provide actionable and effective strategy for your entire brokerage operations.

Broker-Dealer Audit, Compliance, Security and Tax Services

  • Internal audits in accordance with PCAOB standards and reporting under U.S. Generally Accepted Accounting Principles (GAAP)
  • SOC 1 (SSAE 18) and SOC 2 Reporting
  • Sarbanes Oxley compliance consulting
  • Anti-money laundering compliance (AML) reviews to comply with Financial Industry Regulatory Authority (FINRA) guidance, Cybersecurity and IT reviews
  • Tax services

Your Choice for Compliance, Tax Services and Accounting for Insurance Companies

Warren Averett provides customized financial solutions and accounting for insurance companies. Our team of professionals has extensive insurance experience, both in the audit and tax areas. We serve a wide variety of insurance companies, including agencies, underwriters, wholesale brokers, premium finance companies and third-party administrators for processing claims.

Our team members are well-versed in the nuances of the insurance industry, including managing accounting for insurance companies. We understand the operational distinctions and the unique relationships between reinsurer, carrier, broker, agent and the insured.

Insurance Company Accounting, Operations, Compliance, Audit and Tax Services

  • Professional services accounting, including staffing, controller support, software selection and implementation
  • Professional audit and review services
  • Business valuation
  • Compensation, employee benefit advice and retirement plan design
  • Internal procedures and controls
  • International tax and compliance
  • Litigation support and fraud investigations
  • Succession planning and exit strategies
  • Professional services tax return preparation, planning and IRS representation

Meet Our Financial Services Team

Learn more about our team members’ expertise, insights and how we can help you thrive.

Want to know more?

Phone: 800.759.7857

To schedule a free phone consultation, complete the contact form and let us know what’s most important to you. We look forward to hearing from you.

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