Thomas Grundy, CRCM

Senior Director, U. S. Advisory Services

Tom Grundy joined Wolters Kluwer’s U.S. Advisory Services group in January 2013. With over 33 years of experience as a former federal regulator with the Office of the Comptroller of the Currency and Federal Reserve Board, as a financial industry compliance professional for banking, mortgage and fintech financial service providers, and as an advisory consultant to a wide-range of clients, he leverages his experience advising compliance and risk management executives on solutions to effectively manage risk in a complex and rapidly changing regulatory environment.

Grundy has a broad-base of expertise including assessment and development of Compliance Management System (CMS) frameworks; compliance program gap analysis, development and implementation; risk governance processes; applied risk assessment methodologies covering consumer protection laws and regulations, fair lending, UDAAP, and BSA/AML; compliance training; pre-charter conversion reviews; and regulatory examination management and response. Throughout his career he has had the experience of assessing compliance with, as well as first-hand application and implementation of a wide range of laws and regulations applicable to lending, deposits, electronic banking, consumer and enterprise information privacy and security, trust and fiduciary operations, the Community Reinvestment Act, and the Bank Secrecy Act.

Grundy is a graduate of the University of Kentucky, the Graduate School of Banking at the University of Wisconsin, and the American Bankers Association National Graduate Compliance School. He is a Certified Regulatory Compliance Manager (CRCM).  In addition, he has authored published commentaries and served as a speaker at industry conferences on a variety of regulatory risk and compliance management topics.