Financial Services

Financial services organizations manage an array of business issues, including ensuring regulatory compliance, mitigating risks, leveraging key technologies, connecting with clients, maintaining security and privacy, and planning strategically for a profitable future. But at times performing all such tasks internally isn’t feasible.

For your complex functions, working with a trusted firm like RSM, with experience in your industry, allows you to maintain optimal staffing levels while addressing your most pressing challenges. Our audit, tax and business consulting professionals are committed to adding value to all types of financial services organizations across asset management, capital markets, financial institutions, fintech, insurance, and specialty finance sectors.

Services for financial services companies

From continual regulatory change, digital transformation, globalization, cybersecurity and regulatory compliance, the financial services industry must manage these issues without losing focus on increased demands from stakeholders.  Whatever your needs, RSM professionals have the industry experience, insights and relevant skills to help you solve your most complex business challenges. Here are some of the services we provide:

  • Audit reviews and compilations
  • Technical accounting consultations
  • Federal, provincial and international tax compliance and consulting 
  • Transaction planning
  • Transfer pricing
  • Management consulting
  • Enterprise service management
  • Finance and accounting outsourcing
  • IT security and privacy consulting
  • Internal audit
  • Controls review
  • Regulatory compliance
  • Security and privacy
  • Valuation
  • Deal advisory and strategy
  • Mergers and acquisitions
  • Buy-side/sell-side due diligence
  • Technology and digital transformation consulting


Asset management
From business development companies and small business investment companies, to hedge funds, private equity funds and venture capital, to registered investment advisors and regulated investment companies, the asset management sector is undergoing profound changes that will redefine the business. The need to invest in technology, increase efficiencies and work with digital assets will be critical for growth. RSM asset management professionals understand the complexities of the industry and the key issues across auditing, accounting, tax, regulatory compliance and consulting.


Capital markets
The capital markets industry continues to face increased scrutiny and ever-changing rules and regulations. To help address these complex issues and compliance needs, we bring together our industry professionals and extensive experience to provide advice and guidance to broker-dealers, clearing and proprietary trading firms, and investment firms across the nation.


Financial institutions
Financial institution executives face a challenging climate as they seek to balance increased compliance demands, digital transformation and the need to sustain growth. From banks and savings institutions, to trust organizations, to credit unions, to mortgage companies, and finance and leasing companies, RSM industry specialists understand the complexities of each sector in areas including accounting and tax, regulatory compliance, specialized risk management and consulting. We’re poised to help you stay focused on these key efforts while not sacrificing growth and profitability.


As technologies such as blockchain, machine learning and data analytics transform the financial services industry, fintech companies face unique challenges in navigating existing regulatory and tax frameworks. At RSM, our professionals combine fintech knowledge with deep experience in compliance, accounting and specialized risk management. Whether your challenges include consumer protection rules, international tax laws, or management of data sharing risks, we are committed to providing customized fintech services that let you focus on realizing the potential of your innovations.


Our team of knowledgeable insurance industry professionals works to provide companies with a better alternative for their accounting, tax and business consulting needs. Working with RSM, you’ll find we don’t just know the issues you face, we’ve analyzed them and understand their impact on your business. We can connect you with seasoned insurance industry professionals who have the experience needed to turn knowledge into know-how.


Specialty finance
How do you best balance the combination of credit facilities' securitizations, debt offerings and other instruments necessary to fund your loans? How do you most effectively address the numerous accounting and tax issues that these instruments create? What are your best options for funding growth and securing the success of your owners or investors—an IPO? Private equity? A merger or acquisition? At RSM we understand your issues because our specialty finance professionals are specifically dedicated to the unique needs of your industry.