Compliance Solutions

Our approach is a value added solution. Just identifying the problem doesn’t solve it. As banking experts, we know the expectations of the banking examiners and offer relevant and practical solutions, including how to generate profitable business within the parameters of banking regulations. Many of our consultants are former experienced bankers with first hand knowledge of dealing with clients as well as regulators. We encourage working within the spirit of the regulations and promote enhanced due diligence.

Our Interim Professionals, as bankers and certified compliance specialists, are able to step in immediately to help out in a wide array of services ranging from implementation of the most effective AML/BSA programs to assisting in clearing backlogs in transaction monitoring areas as well as updates to the Know Your Client of higher risk accounts. Because every financial institution is unique in its compliance operating activities, we take great pride in integrating in the manner that best fits our client’s organizational structure and immediate needs. The right policy is no good if the procedures are not in place and enforced. We focus on making sure the procedures are in place and are enforced.

We deliver compliance expertise in the following functions and specialties:

• Know Your Customer (KYC) Reviews
• Transaction Monitoring (Review Alerts, Flags or Exceptions)
• Enhanced Due Diligence (EDD) for high risk customers
• Risk Rating of Accounts
• Statistical Analysis of Customers and / or Transactions
• Evaluate Monitoring process to determine accuracy, efficiency and compliance with regulators’ expectations
• Data Entry