The team’s hands-on support and deep expertise ensure companies are adequately prepared for and excel in compliance examinations
FS Vector, a leading strategic consulting firm for companies that are innovating in financial services, is announcing the launch of its Examinations offering to support companies with all single-state, multistate, investor, and federal financial services exams.
FS Vector’s new Examinations offering is driven by the company’s Licensing team, headed by Emily Goodman, Partner, who brings over two decades of experience building and advising in fintech and financial services.
Innovation in financial services continues at a rapid pace, making deploying and maintaining a robust and accurate compliance program more critical than ever. A proactive approach to regulatory compliance demonstrates a company’s commitment and builds trust with regulators, customers, and stakeholders. Companies that are unprepared for financial examinations risk business and operational disruptions, reputation damage, and fines.
“When properly prepared for, the examination process can be a strategic advantage rather than a disruption to a business,” Goodman said. “As regulatory scrutiny at the state level continues to intensify, it is a critical time to demonstrate trust, maturity, and transparency to regulators. I’m excited about our Examinations offering that embeds FS Vector as a partner to deliver successful examination outcomes. Our team leverages Approved, our purpose-built licensing technology platform, together with our deep relationships and experience with regulators to support companies through every stage of the process.”
Supporting three key areas of the examination lifecycle – preparation, information management and examination management – the FS Vector team guides clients through anticipating and overcoming common obstacles, securely organizing crucial data and information, developing presentation materials, and acting as a third-party user within the exam system portals.
Leading this offering is Kristie Battershell, Principal, who brings decades of experience in examinations and licensing, including nine years in the NMLS Industry Development Working Group and three as a member of the AARMR Advisory Council.
“We meet companies where they are, whether that is on-site, through hands-on support or a quick phone call on a one-off item that needs to be buttoned up,” Battershell said. “Beyond the technical aspects of the exam, we work with companies to ensure internal alignment so that all team members across departments are prepared and confident in liaising with regulators.”
FS Vector has guided more than 500 companies of varying growth stages across the financial services ecosystem through their critical product and compliance needs. The team recently welcomed Erica Brennan to its Licensing practice and Jackson Mueller to its Government Relations and Public Policy practice, extending the firm’s reputation as a powerhouse of diverse industry leaders delivering exceptional insights and guidance to its clients. For more information on the examination offerings, please visit https://www.fsvector.com/services/license-exam-management.
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