List of Compliance Assistance Services

Full Service Compliance

Our Most Popular Outsourced Compliance Option (often 60% less than the cost of one compliance officer!)

Do you find that managing your credit union’s compliance is frustrating, time-consuming, inefficient, and at the very worst, unsuccessful? When credit unions fully outsource their compliance to us, they not only reap the benefits of economies of scale, but also enjoy increased productivity, breadth of knowledge and peace of mind.

We assist with:

Review, revise and make recommendations to existing policies and procedures for applicable federal laws and regulations
Develop policies and review CU procedures for new federal laws and regulations
Review marketing and communications
Review website
Review and assist with Bank Secrecy Act program
Conduct staff & volunteer training
Independent testing
General support

👉 General Compliance Support

Monthly support for regulatory compliance questions and issues. Unlimited support and consultation for one low monthly fee! Bundled with other services or as a standalone option.

Develop and Review Policies

Managing compliance policies and procedures can seem overwhelming to even the most seasoned compliance expert. Not only can we review all of your items on a continual basis, we can also help you develop policies and procedures.

What sets us apart is our guidance. We don’t simply hand you a sample policy and send you on your way. We’ll stay with you every step to make sure staying compliant is as easy as possible.

We assist with:

Website Review
Marketing and Advertising Review
Disclosure Review
Policy and Procedure Writing
And more

Our unique Marketing Compliance package is tremendously popular, for good reason.

We’ll review your web, social media, and print and digital advertising campaigns as part of our marketing compliance service. We’ll tell you what you need to add, AND what you can leave out. We do not know of another compliance provider who offers such a thorough compliance solution for marketers. Ours is not a backwards look; we’ll actually tell you if something is incorrect before you publish it.

Testing and Assessment

Are you looking for the best-of-the-best to conduct your annual examination reviews and assessments? You have come to the right place. Our team are leaders in the compliance arena and speak nationally on the subject.

Independent Testing

BSA/AML
Fair Lending Regulations
ACH
SAFE Act
Website
Regulation E and Overdraft
And more

Risk Assessment

Identify areas of risk
Interview operational staff (Lending, Marketing, Branch Management, etc.)
Evaluate mitigating factors
Discuss solutions and recommend action
BSA/AML, ACH, ID Theft Red Flag Program, lending, and more

Staff and Volunteer Training

Topics Include:

Bank Secrecy Act/Anti-Money Laundering Regulations
Building a Compliance Culture
Completing CTRs and SARs
Compliance Hot Topics
Deposit Account Regulations
Electronic Services Risk
Fair Lending Regulations and Examinations
Home Mortgage Disclosure Act/Regulation C
Marketing and Social Media
Mortgage Lending Regulations
Preventing Workplace Harassment
Privacy
Successful Compliance Program Management
Training for Boards
And more!

💡 New to compliance? Need a refresher? Coaching for new BSA and Compliance Officers

Are you a new compliance officer or have do you have a new officer on your team? We designed an efficient program specially for those who are new to the compliance scene. Think of it as a crash-course in all things credit union compliance, taught by our expert team. For non-compliance positions – overview of regulations applicable to position or in-depth training on one specific aspect such as error resolution processes.

Speaking for Credit Union Trades & Other Organizations

Compliance does not have to be dry and boring. Our seasoned veterans will entertain your audiences with engaging and insightful presentations on a wide range of topics. Whether speaking in person or remotely via Webinar or audio conference, we make compliance interesting. Don’t believe it? Contact us for a reference.

Consider us for your next compliance conference, annual meeting, corporate client user group, or volunteer conference.

We speak on:

Bank Secrecy Act/Anti-Money Laundering Regulations
Building a Compliance Culture
Compliance Basics
- Intro to Compliance
- Intro Bank Secrecy Act Compliance
- Conducting Compliance Audits for your CU
Completing CTRs and SARs
Compliance Hot Topics
Complying with Requests from Law Enforcement
Deposit Account Regulations
Member Complaint Response Management
Electronic Services Risk
Fair Lending Regulations and Examinations
Home Mortgage Disclosure Act/Regulation C
Marketing and Social Media
Making Compliance FUN!
Mortgage Lending Regulations
Preventing Workplace Harassment
Privacy
Successful Compliance Program Management
Training for Boards

Don’t see what you are looking for? Contact us for an exhaustive list of services; we offer simply too much customization to list everything on our site.

Browse our resource library

Fighting the Compliance FUD Factor

10 Things You Can Do Today to Get Your Credit Union CompliantBefore You Hire Another Compliance Officer, Consider Outsourcing First

AFL-CIO EFCU: Big City, Big Challenges

A Faster Horse: A Study on What Credit Unions Want from Their Compliance Provider

Visit the full library

List of Compliance Services