Regulatory Compliance and Auditing Services
Regulatory Compliance: Stern & Eisenberg prioritizes regulatory compliance to protect both itself and its clients. Our tracks and reviews all relevant statutes enacted by Congress, regulations and administrative guidance published by executive agencies, and caselaw set forth by both state and federal judges. The Firm then advises its clients accordingly as well as adjusts its own policies and procedures to adhere to the latest laws.
Stern & Eisenberg is ISO compliant and protects all NPII to the greatest extent possible. S&E lives its commitment to regulatory compliance through its abundant auditing, timely reporting, and reiterative training.
We are committed to the leadership and management of comprehensive regulatory, client and firm-wide internal compliance.
At Stern & Eisenberg, we prioritize legal compliance and privacy across all aspects of our practice to protect client information and ensure adherence to applicable laws and regulations. Our firm is committed to maintaining the highest standards of confidentiality, data security, and regulatory compliance to safeguard sensitive information and foster trust.
By integrating privacy and compliance into every aspect of our operations, Stern & Eisenberg not only protects its clients but also builds confidence in the security and integrity of its legal services. Let us support your legal and compliance needs with precision and care.
Statute, Regulation, Caselaw, & Administrative Guidance Reviews
Stern & Eisenberg is committed to keeping track of new and changing laws, reviewing all statutes, regulations, caselaw, and administrative guidance that might affect our clients and their operations. Our team prides itself on timely and often communications to our clients with all new updated laws that are relevant to our clients needs and interests.
Process Guidance – The Firm advises clients on how to set up and update their processes to best implement new and changing laws.Ethical Reviews – The Firm advises our clients as to the ethical rules and considerations affecting their processes and decision making.
Information Security – The Firm is ISO compliant and assists our clients in implementing similar information security practices.
Privacy – The Firm protects all NPII received from our clients, providing annual privacy training to our employees. The Firm assists our clients in implementing similar privacy practices.
Stern & Eisenberg is dedicated to maintaining the highest standards of compliance and operational excellence. Our auditing and compliance processes are designed to identify opportunities for improvement, ensure regulatory compliance, and support the evolving needs of our clients and the businesses we serve.ApprA
Auditing – The Firm’s quality assurance staff performs daily audits of milestones, holds, and system integrations to ensure client requirements are met.
Key Areas of Focus:
- Gap Enhancements and Process Improvements:
- Our Compliance Department conducts thorough quality control audits, collecting and analyzing live data to pinpoint process gaps and inefficiencies.
- Recommendations are made to enhance workflows, improve operational efficiency, and align with best practices in legal service delivery.
- Human Resources Policies:
- The Compliance Department routinely reviews and updates Human Resources Policies and Procedures.
- Adjustments are made to reflect changes in the law, client requirements, or business needs, ensuring compliance and fostering a positive workplace culture.
- General Policies and Procedures:
- Regular updates to the Firm’s General Policies and Procedures ensure alignment with legal requirements, industry standards, and client expectations.
- The process includes ongoing reviews to proactively address evolving business and regulatory demands.
- Information Security Policies:
- As data security remains critical, our Compliance Department meticulously reviews and updates the Firm’s Information Security Policies.
- This includes adapting to new regulations, incorporating client-specific requirements, and addressing emerging cybersecurity threats to safeguard sensitive information.
Reporting – The Firm maintains robust internal reporting processes and, in turn, provides accurate and timely reporting to our clients.
Training – The Firm offers our clients training opportunities where our attorneys will come to their offices to discuss general processes or specific issues. The Firm also provides our staff a full suite of compliance trainings and client-specific trainings, at new hire and again annually.
Stern & Eisenberg is dedicated to maintaining the highest standards of compliance and operational excellence. Our auditing and compliance processes are designed to identify opportunities for improvement, ensure regulatory compliance, and support the evolving needs of our clients and the businesses we serve.
Our Compliance team is always available to assist and provide guidance for state and federal regulatory compliance matters and prides itself on providing succinct relevant opinions. Let us help you navigate the complexities of the ever-changing landscape of regulatory compliance.
