Compliance

Our Former Federal Agents Provide Strategic Consulting for Statutory and Regulatory Compliance

All companies have compliance obligations of one form or another. From federal tax and securities law compliance to regulatory compliance in specific industry sectors, compliance obligations can consume substantial corporate resources—and they can present major risks for companies that fail to do what is required.

At Corporate Investigation Consulting, we provide comprehensive compliance consulting services for companies in all industries. As former agents with the Internal Revenue Service (IRS), U.S. Department of Defense (DOD), U.S. Department of Health and Human Resources (DHHS), and other federal agencies, our compliance consultants offer deep insights into not only companies’ compliance obligations, but into how and when federal authorities target companies for compliance failures. We can help your company establish and maintain compliance, and we can help you prove your company’s compliance when necessary.

Put our highly experienced team on your side

Roger Bach
Roger Bach

Former Special Agent
(DOJ-OIG & DEA)

Timothy E. Allen
Timothy E. Allen

Former Senior Special Agent
(U.S. Secret Service & DOJ-OIG)

Chris Quick
Chris Quick

Former Special Agent
(FBI & IRS-CI)

Maura Kelley
Maura Kelley

Former Special Agent
(FBI)

Ray Yuen
Ray Yuen

Former Supervisory Special Agent
(FBI)

Michael Koslow
Michael Koslow

Former Supervisory Special Agent
(DOD-OIG)

Marquis D. Pickett
Marquis D. Pickett

Special Agent
U.S. Secret Service (ret.)

Dennis A. Wichern
Dennis A. Wichern

Former Special Agent-in-Charge
(DEA)

Compliance Consulting Backed By Extensive Federal Government Experience

We provide consulting services to public and private companies of all sizes. In addition to working with companies independently, we also work alongside companies’ compliance counsel. We partner with our clients (and their law firms, when desired) to provide comprehensive compliance advice and solutions in the areas of:

  • Banking and finance
  • Cybersecurity and high technology
  • Cryptocurrency and blockchain
  • Food and consumer products
  • Government contracting
  • Health care
  • Importing and exporting
  • Media and communications
  • National security
  • Pharmaceuticals and medical devices
  • Retail investing
  • Transportation

We also provide federal tax compliance consulting services for companies in the U.S. and abroad. Our tax consulting team is led by a former Special Agent with IRS Criminal Investigations (IRS-CI) and the Federal Bureau of Investigation (FBI).

About Our Comprehensive Approach to Compliance

When it comes to compliance, companies cannot afford to take chances. They cannot make uninformed assumptions, and they cannot rely on incomplete information. As a result, simply understanding what it means to be compliant is one of the first and most-significant challenges companies face in the compliance arena.

With this in mind, a comprehensive approach to compliance is absolutely essential. At Corporate Investigation Consulting, we help ensure that our clients’ compliance efforts are sufficiently comprehensive by:

  • Assessing Our Client’s Compliance Obligations – Companies’ compliance obligations can vary widely, even within the same market sector. Our compliance consultants rely on their extensive federal experience to thoroughly assess our clients’ compliance needs.
  • Conducting an Internal Compliance Assessment – Once we gain an understanding of a company’s obligations, then we can assess the sufficiency of the company’s current compliance efforts. In order to do so, we conduct a full internal compliance assessment.
  • Developing a Comprehensive Compliance Strategy – Knowing where a company’s compliance strengths and weaknesses lie, we can then develop a comprehensive compliance strategy based on custom-tailored recommendations.
  • Assisting with Compliance Strategy Implementation – After developing a compliance strategy, the next step is implementation. We provide consulting for all aspects of compliance program implementation, from program dissemination to employee training.
  • Monitoring Compliance (and Compliance Needs) on an Ongoing Basis – Establishing compliance is not a one-time event. Companies must monitor their compliance efforts for efficacy, and they must be able to identify when additional compliance measures are necessary. In addition to providing front-end compliance consulting, we assist our clients with ongoing compliance auditing and management as well.

FAQs: Establishing and Maintaining Compliance in Today’s Regulated Environment

Q: How important is it for companies to maintain comprehensive compliance?

 

Maintaining comprehensive compliance is extremely important. This is true regardless of the industry in which your company operates and the scope of its compliance obligations. With even minor compliance failures having the potential for significant ramifications, it is essential for companies to invest the necessary resources in maintaining an effective compliance program.

Q: How can I comprehensively determine my company’s compliance obligations?

 

In order to comprehensively determine a company’s compliance obligations, it is necessary to conduct a comprehensive compliance assessment. This includes not only examining the efficacy of the company’s current compliance program, but examining the company’s operations for potentially-overlooked areas of compliance as well.

Q: What are the key elements of an effective compliance program?

 

An effective compliance program will have several key elements. These include: (i) documented policies and procedures, (ii) structured implementation and training protocols, (iii) monitoring and oversight, and (iv) ongoing assessment of compliance needs. In most cases, companies will need to designate a chief compliance officer (or equivalent) who is responsible for managing the company’s compliance on an ongoing basis. If your company does not currently have a chief compliance officer, we can assist you with developing and recruiting this position as well.

Q: What are the risks of non-compliance at the federal level?

 

The risks of non-compliance at the federal level are significant. Depending upon the specific obligation at issue and the federal agency (or agencies) with enforcement jurisdiction, non-compliance can potentially lead to fines, recoupments, and other civil and administrative penalties. If there is evidence to suggest that a company is intentionally subverting its compliance obligations (including by “willful ignorance”), then criminal charges are also a possibility.

Q: How will Corporate Investigation Consulting work with my company’s compliance counsel?

 

If your company has compliance counsel, our former federal agents can work with your company’s lawyers with respect to compliance program development, implementation, and monitoring. Acting on your company counsel’s legal recommendations, we will provide our own recommendations with regard to how to manage your company’s compliance needs effectively.

We can also provide the results of our internal auditing efforts to your company’s lawyers, and we can work with your company’s lawyers regarding strategy during external compliance audits and investigations. By providing our insights and helping companies maintain the documentation they need to prove compliance to federal authorities, we are able to supplement the services provided by companies’ compliance counsel.

 

Schedule a Complimentary Compliance Consultation Today

If you would like more information about our compliance consulting services, we invite you to schedule a complimentary consultation with one of our senior consultants. To speak with a former federal agent in confidence, please call 866-352-9324 or tell us how we can help online today.

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