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