Staff Training in BSA/AML.  Consulting for Compliance provides a pro-active, “more is better” approach, with full staff training that enhances an institution’s standing in the AML effort.

Independent BSA Reviews. Regulators look to financial institutions to get a “fresh look” at existing programs.  With a background in all aspects of BSA and OFAC regulations, Consulting for Compliance can provide extra examination preparation and help you identify potential problems.

Preparation for and support during BSA Examinations.  Once the First Day Letter arrives, the preparation time takes on a fixed character as everyone scrambles to meet requirements, especially those the examiners have added in after the pre-exam planning visit.  Consulting for Compliance can help put professional finishing touches to the First Day Letter responses.

Development and Execution of Compliance Reviews and Testing. Compliance Testing has become an increasingly important and valuable component of the compliance tool kit. Consulting for Compliance can assist in developing the tools for review and actual testing.

FINRA 3130 and 3310 Reviews.  Consulting for Compliance can evaluate a broker-dealer in line with the requirements of the 3130 Supervisory Review and the 3310 AML Certification.

Business Continuity Planning.  Consulting for Compliance can also provide support in the development and review of the Bank’s Business Continuity Plan.