Compliance Administration Program

Many institutions outsource the administration of their compliance function due to the need for enhanced expertise, a desire to focus greater attention on core competencies, and/or the need to control or reduce costs. Our regulatory compliance professionals will maintain an ongoing comprehensive compliance program for your institution with our tailored solution that can include:

  • A compliance risk assessment to determine your institution's specific compliance needs
  • Development and execution of a monitoring program that is based on the compliance risk assessment
  • Ongoing compliance program support that includes:
    - Compliance committee participation
    - Compliance "hotline" for answering compliance questions, reviewing ads and disclosures and evaluating new products
  • Proactive regulatory updates and assistance with the implementation of new/amended laws and regualtions
  • Compliance training for all levels and areas of the institution