List of Compliance Services

We provide an A to Z compliance selection, but our full service compliance option, often 60% less than the cost of one compliance officer, is most popular.

🤝 We work with credit union trades and other organizations, too!

We help all kinds of organizations in the credit union industry.

Full Service Compliance

Our Most Popular Outsourced Compliance Option

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

Develop and Review

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
  • ACH
  • SAFE Act
  • Website
  • Unlawful Internet Gambling Enforcement Act (UIGEA)
  • 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, deposit accounts, lending, and more

Staff and Volunteer Training

💡 New for 2020! 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 a 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.

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!

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.

Contact Us

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