Practical insight and guidance for your governance challenges
Earning the trust of your financial services organization’s stakeholders and clients starts with transparency.
With effective governance, risk and controls, your financial services organization can safeguard assets and operate more efficiently and ethically. But maintaining robust governance while navigating complex regulations and business models can be challenging.
Wipfli’s professionals can help with integrated services that help you foster resilience and give you critical insights for decision-making and risk management that align with your strategic plan.
Why Wipfli?
Wipfli’s industry-experienced teams understand your complex regulatory compliance concerns. We apply our knowledge of financial services to help you develop comprehensive risk and governance across silos and execute them.
How we help you
ACH examination
Wipfli’s ACH examination solution can help your organization minimize the risk associated with ACH payment processing. Our experienced professionals can help you evaluate compliance so that you can minimize risk and satisfy requirements.
ALM and LRM validation
Wipfli can help you strengthen your asset/liability management (ALM) and liquidity risk management (LRM) processes and practices with a team of experienced advisors who can help you with ALM and LRM validations, developing a comprehensive ALM/LRM framework, consulting and training. Our team is ready to help you balance risk and profitability both now and in the future.
Call report assistance
Wipfli provides comprehensive service for your organization’s call report preparation and filing. Create more accurate, efficient and transparent procedures with our preparation, training and regulatory remediation support. Our outsourced call report services can also help you with preparation and filing
Capital planning
Wipfli’s team of capital planning professionals can help you drive strategic growth while satisfying safety and soundness goals. We help you link capital planning to your strategic plan, enterprise risk management plan and other key policies so that your capital plan supports your long-term success.
Enterprise risk management
Understand and effectively manage the strategic risk facing your organization, with Wipfli. Our enterprise risk management team understands the unique risks your financial services organization faces, and we’re ready to provide solutions to help you build resilience.
FDICIA compliance services
Wipfli can help your organization enhance FDICIA compliance before you reach the next threshold. Our team of FDICIA specialists can guide you through each step of the compliance process, working directly with your board, audit committee and executive team to help you develop an effective and efficient FDICIA plan.
SOX
Streamline SOX requirements and fill gaps in your SOX program with Wipfli. We work with your team to create a seamless process identifying your crucial controls and testing their effectiveness. Based on your SOX program data, we give you insight into your internal controls and help provide resources to fill technical and capacity resource gaps.
Trust and fiduciary services
Wipfli’s trust and fiduciary team brings both objectivity and flexible delivery to our third-party independent audit services, including fiduciary activity risk assessments, risk-based audit planning and customizable trust department examinations. Our thorough examination procedures are based on our extensive industry knowledge so that we can help you meet regulatory expectations. And we provide proactive guidance on best practices and risk management strategies.
ACL validation services
Simplify maintaining, validating and reporting under CECL with Wipfli. Our financial services accounting team can help you validate your CECL solutions, with specialized support for credit underwriting and analysis, process and systems management, accounting, financial reporting and IT.
Internal audit services
Wipfli’s internal audit services offer more than just a list of items to fix. We provide practical solutions and industry best practices informed by the latest regulatory guidance. Our support allows you to effectively allocate resources according to your board and management’s priorities.
Our team
Carrie Connell, CPA
Carrie Connell began her career in audit in 2003 and today works in our risk advisory group with clients primarily in the financial services industry. She is experienced in both public and nonpublic financial statement audits, employee benefit plan audits, regulatory compliance audits and fraud and forensic accounting. On numerous occasions, Carrie has assisted de novo institutions in transitioning from an organizational stage to fully operational companies. She specializes in administering and performing Sarbanes-Oxley Section 404 compliance for accelerated filers and smaller reporting companies, FDICIA compliance and operational and financial internal audits.
Karen A. Mitchell
Karen Mitchell brings more than 25 years of experience in the financial services and nonprofit industries, as well as industry and regulatory perspectives to her work. Karen currently provides consulting services in the areas of risk management, particularly enterprise risk. She assists clients in obtaining the highest level of success by helping to identify and navigate the risks associated with achieving strategic objectives.
Robert H. Zondag, CTP
Robert H. Zondag brings leadership experience as an entrepreneur and executive in financial services. His clients have included financial institutions, technology companies, healthcare organizations and government entities. Robert is passionate about bringing clarity to his clients when they face complex business issues and regulatory matters.
Luke Soper, CPA
Luke Soper is a senior consultant in Wipfli’s financial institutions practice. He has over 10 years of experience in financial management in banks and credit unions ranging in size from $50 million to $8 billion. He is attuned to the needs of various client types and sizes.
Danielle M. Damon, CIA
Danielle Damon is a manager in Wipfli’s financial institutions practice. She works with financial institution clients as a consultant in the areas of operations, process improvements, customized gap analysis, call report preparation, review and training, and risk-based internal audit.
FDICIA Readiness guide
Discover the top four elements of FDICIA compliance your organization should prepare before you cross the asset threshold.
