We know how valuable your time is. We also understand the demands of maintaining a strong compliance program in today’s regulatory and economic environment. As such, bankers have been looking for efficient, cost-effective means by which to build and maintain effective Compliance Management Programs. We have your solution.

 

Our Compliance Risk Management Program provides you a comprehensive independent assessment of your compliance function. Your review schedule will be based on a preliminary risk assessment derived from several sources to ensure appropriate coverage based on risks presented. The frequency of our reviews is tailored to your needs. We typically perform reviews on monthly, bi-monthly and quarterly schedules; however “target” (i.e. one-time or annual) reviews may be completed as requested. Our most common target review is focused on performing an independent assessment of the Bank Secrecy Act/Anti-Money Laundering Compliance Function in accordance with regulatory requirements.

 

The following topics may be scheduled as stand-alone “target” reviews or plotted within a risk-based schedule in specific segments (e.g. monthly, bi-monthly, quarterly, semi-annually, etc.). Audits may be performed for topics outside of this list. Discussions of custom reviews can be arranged.