AREAS WE FOCUS

Interim Executive/Leadership Services

Financial Crimes Compliance

Regulatory Compliance

Internal Audit Support

Tactical, Strategic, and Training Support

SUITE OF SERVICES

Interim Executive/Leadership

  • Strategic advice to senior executive management and the board of directors
  • Interim executive support (Compliance Officer, BSA Officer, Risk Officer, Audit Executive)
  • Board of Directors and Senior Management Roles and Responsibilities
  • Management and Board Reporting; Dashboard and Metrics Design
  • Three lines of Defense Design, Roles and Responsibilities
  • Strategic Planning
  • Operational Efficiency Optimization
  • Business Expansion
  • Revenue and Profitability Growth
  • Risk and Control Optimization

Regulatory Compliance

  • Compliance Program Assessment
  • Compliance Program Design and Development
  • Compliance Risk Assessment
  • Compliance Risk and Controls Documentation and Testing
  • Compliance Advisory Support
  • Compliance Assurance Services
  • Exam preparedness and pre-exam assessments
  • Regulatory response advisory
  • Enforcement Action Management (Remediation planning and execution)
  • Independent Compliance Monitorships/Consultancies

Strategic Support

  • Enterprise Risk Assessments
  • Compliance Program Assessments
  • Compliance Program Development and Design
  • Operating Models Development and Design
  • Transformation and change management support
  • Acquisition/Merger Due Diligence
  • Post-merger integration support

Financial Crimes Compliance

  • Program Assessment
  • Program Design and Development
  • Risk Assessment
  • Risk and Controls Documentation and Testing
  • BSA/AML Operational Support (Co-Sourcing)
  • Fraud Risk Management and Training
  • Fraud Investigations and Recovery
  • Exam preparedness and pre-exam assessments
  • Regulatory response advisory
  • Enforcement Action Management (Remediation planning and execution)
  • Independent Compliance Monitorships/Consultancies

Tactical Support

  • Policy and Procedure Development
  • Risk and Controls Framework, Development and Design
  • Risk Scoring Methodology Development
  • Current state assessments, gap identification and remediation
  • Independent Audits
  • Customer Risk Management (KYC, CDD, EDD, CIP) Program Design and Development
  • Customer activity monitoring and investigations process review and optimization
  • Independent Compliance Reviews and Audits
  • Independent Transactional Reviews (Lookbacks)
  • Program co-sourcing/outsourcing

Training

  • On-campus training for all levels
  • Targeted training for Board and Management
  • Public speaking and presentations
  • Executive coaching