San Francisco
Promontory Financial Group, LLC
Spear Tower, Suite 4100
1 Market Plaza
San Francisco, CA 94105
T +1 415 986 4660
F +1 415 321 6403
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San Francisco

Opened in 2004, Promontory's San Francisco office is located in the heart of the city's bustling financial district.

Promontory’s San Francisco office helps a diverse group of clients, from major financial institutions and technology firms to startups, resolve critical strategic and regulatory challenges. Our professionals have decades of experience as former senior policymakers, financial regulators, and business executives, and specialize in providing actionable, risk-based advice to businesses. Our projects span giving advice to pre-launch startups to performing large, complex reviews for global firms.

The San Francisco office is also home to Promontory’s fintech practice, which has worked with alternative lenders, payment providers, payment networks, financial arms of global technology companies, and other fintech firms in a variety of areas.

Expertise

Our San Francisco professionals have experience with a broad range of projects, including:

Enterprise Risk Management

We have extensive experience in all aspects of ERM, including building the infrastructure to support it. Promontory frequently helps banks enhance their ERM programs when they cross critical asset-size thresholds that trigger enhanced supervisory standards, and we are well-versed in bank supervisors’ heightened expectations for financial institutions’ risk management.

Consumer Protection

Promontory works with clients and regulators to respond to consumer-related regulatory concerns, including enforcement actions related to fair-lending violations and unfair, deceptive, or abusive acts or practices. Our experts’ regulatory backgrounds give them unique knowledge and understanding of the Consumer Financial Protection Bureau and other regulatory agencies.

Compliance

Our compliance practice is founded on our deep understanding of the ever-greater challenges facing compliance officers. Our professionals, with long careers as corporate executives and senior-level regulators, have designed and operated compliance systems and written and implemented rules and internal procedures.

Privacy and Data Protection

Promontory’s privacy and data protection experts draw on deep regulatory and industry knowledge to provide practical, workable solutions that help clients comply with strict global privacy rules. We advise clients from the financial, health care, media, retail, and technology sectors, on the collection, use, transfer, and storage of data across multiple jurisdictions.

Information Security and Cyberrisk Management

We help clients comply with regulatory expectations for cybersecurity by providing tailored advice that reflects a company’s business model, complexity, footprint, and array of threats. Our services include strategic reviews of cyberrisk management and governance, compliance-program assessments, and control development and validation.

Resilience and Disaster Recovery

We help clients promote business resilience and plan for crisis management and disaster recovery. We work with financial institutions and other firms to develop and implement resilience strategies, assess frameworks and programs for business-continuity planning, and conduct business-impact analyses.

Community Reinvestment Act

Promontory’s CRA practice aligns compliance objectives with business models, management’s goals for growth, and attention to reputation risk management. Our practice leaders help clients excel in CRA performance by designing compliance strategies that respond to community needs and meet rating objectives.

Strategic Transactions and Regulatory Applications

We help bank and nonbank firms develop regulatory strategy at the federal and state levels and prepare regulatory submissions, such as business plans and policies and procedures. We also assist potential investors with due diligence on acquisition targets.

Bank Secrecy Act/Anti-Money-Laundering Compliance

Promontory advises financial institutions on all aspects of BSA/AML and sanctions compliance. Our AML experts assist clients with risk assessments, know-your-customer controls, transaction monitoring and investigations, internal and regulatory reporting, policy and procedure management, online training, and compliance testing.

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