Our Services

At PRM Advisors, LLC, we help financial institutions strengthen compliance, manage risk, and navigate complex regulations with confidence. We deliver insights that go beyond checklists, helping your organization stay ahead of regulatory expectations while enhancing operational efficiency.

  • We guide institutions through the evolving regulatory landscape, ensuring compliance programs are not just meeting minimum standards but driving operational excellence.

    What’s included:

    • Regulatory gap assessments

    • Policy and procedure reviews

    • Compliance program design and enhancement

    • Support for new product or service compliance integration

  • We help financial institutions strengthen their Bank Secrecy Act (BSA) and Anti-Money Laundering (AML) compliance programs to meet regulatory expectations and protect against financial crime risks. Leveraging direct experience in case review, suspicious activity identification, and regulatory oversight, PRM Advisors provides both strategic guidance and hands-on support in:

    • Reviewing transaction monitoring alerts and identifying suspicious activity patterns

    • Conducting investigations and preparing high-quality SAR narratives

    • Enhancing AML risk assessments, policies, and procedures

    • Training staff on red flags, structuring, and other financial crime risks

    • Advising on regulatory expectations from the Federal Reserve, FinCEN, and FINRA

    • Supporting institutions in responding to AML-related enforcement actions or exam findings

  • We help institutions identify, assess, and mitigate risk across all areas of operations, from credit and liquidity to operational and reputational risks.

    What’s included:

    • Enterprise Risk Management (ERM) framework development

    • Risk appetite statement and tolerance setting

    • Stress testing and scenario analysis

    • CAMELS-style internal risk assessments

  • Facing a regulatory enforcement action can be disruptive and high-stakes. PRM Advisors provides experienced guidance to help institutions respond effectively, remediate deficiencies, and rebuild regulatory confidence.

    Key Offerings

    • Enforcement action response planning

    • Corrective action plan development and execution

    • Progress tracking and regulator communication support

    • Targeted compliance and risk remediation projects

    • Board and management coaching on regulatory expectations

  • We conduct in-depth due diligence to support mergers, acquisitions, partnerships, vendor relationships, and investment decisions. Our approach blends regulatory scrutiny, operational insight, and strategic evaluation to reduce risk and enhance decision-making.

    Key Offerings

    • Regulatory compliance review

    • Financial health analysis

    • Operational risk assessment

    • Management and governance evaluation

    • Vendor and third-party risk review

    • Strategic fit analysis

  • Strong leadership and governance are the cornerstones of institutional resilience. Our management studies evaluate the effectiveness of leadership teams, decision-making processes, and governance structures to ensure they support safe, sound, and sustainable growth.

    Key Offerings

    • Management effectiveness reviews

    • Governance structure analysis

    • Strategic planning facilitation

    • Succession planning assessments

    • Board and committee performance evaluations

  • We equip boards, executives, and staff with the knowledge to meet regulatory demands and execute sound risk management. Training is tailored to your institution’s structure, strategic goals, and regulatory environment.

    Key Offerings

    • Board governance training

    • Compliance and risk management workshops

    • Examination preparation sessions

    • Regulatory change updates and impact analysis

    • Customized e-learning modules and live training