Kaufman Rossin

About

Kaufman Rossin is a CPA and advisory firm whose Risk Advisory Services team works with banks, fintechs, broker-dealers and RIAs on regulatory compliance and financial crime risk. Founded in 1962 by Jim Kaufman and Jay Rossin, the partner-owned firm has more than 700 professionals providing accounting, audit, tax and advisory services. Its financial crime work includes BSA/AML programme design and risk assessments, transaction monitoring implementation and validation, independent testing and OFAC compliance, and for fintechs it supports compliance with sponsor bank expectations and the path to a bank charter. The risk practice also covers FINRA and SEC compliance, consumer compliance, corporate governance and cybersecurity, and is chaired by principal Ivan Garces. Its site notes that the team independently validated Bretton AI's KYC, AML and sanctions agents.