Banking Compliance and Governance

Regulatory Compliance for Financial Institutions

Don’t put business on hold. We keep financial institutions moving forward by ensuring they remain compliant and act within state and federal regulations.

Our finance attorneys assist commercial and retail banks, and other financial services providers with creating new products, lending, licensing and origination, secondary market sales, securitizations, foreclosures, and litigation. Our attorneys have experience leading financial institutions through regulatory exams by gathering responsive documents, responding to regulator queries, and working directly with examiners to produce a favorable outcome. We can assist with drafting policies, procedures, and controls that are in compliance with new regulations. We also advise non-traditional financial service providers engaged in specialty lending, payment systems, mobile payments, stored-value systems, consumer lending, and ATM and debit networks.

Banking Corporate Governance Advisory

Our Omaha, Sioux City, and Sioux Falls attorneys ensure your company stays on track while covering all your bases.

In the banking and finance industry, there’s more to think about than clients and services alone. We take the weight off your shoulders by guiding you through critical governance and compliance areas that demand attention without consuming your time.

We advise financial institutions on matters such as:

Financial institutions regulation
E-Discovery
HR and employment advising
Risk management
Succession planning

Banking service team in Goosmann conference room

Representation Before Regulators

We have also represented clients during enforcement actions and hearings before regulators, including:

Consumer Financial Protection Bureau
Federal Reserve Board
Federal Deposit Insurance Corporation (FDIC)
Office of the Comptroller of the Currency (OCC)
Office of Thrift Supervision (OTS) and state regulators

Meet Our Team

Jeana Goosmann

CEO, Founding and Practicing Attorney

Warren J. Ford III

Partner

Aaron D. Adams

Partner

Contact

Ensure your institution remains compliant and well-governed. Connect with our Banking Compliance and Governance team today.

Compliance and Governance FAQ

Which types of financial institutions do you advise on compliance matters?

We represent traditional institutions like banks and mortgage lenders, as well as non–traditional providers offering specialty lending, payment systems, mobile payments, and consumer finance services.

Can you assist if my company faces an enforcement action?

Yes. Our attorneys have represented clients before the Federal Reserve, CFPB, FDIC, OCC, OTS, and various state regulators. We guide clients through investigations, enforcement actions, and hearings.

What governance issues can you help us manage?

We advise on financial regulations, HR and employment issues, succession planning, and e-discovery, helping institutions anticipate challenges and stay focused on growth.