Compliance Solutions for Community Banks
Get the benefits of our 40+ years of working with Community Banks
We’re focused on solutions that work – and you can afford.
We want to be part of your compliance solution.
We have a strong sense of how to make compliance work in a client bank – taking into consideration the size of the bank and the degree of risk in their business. Clients who have invited us onto the compliance team have enjoyed a series of satisfactory compliance evaluations by auditors and examiners. We’d like to talk it over with you.
Want to go forward? Here are the next steps:
- Call to discuss your needs and to obtain our Certificate of Non-Disclosure and Privacy Agreement.
- If we’re only spit-balling, than skip Step 3. We don’t charge for conferences or to share our experience.
- Review our Fee Proposal. If it is acceptable, go to next step. NOTE: depending upon the circumstances, not all information request may be necessary. The rule of thumb: if you’re paying us, we want as much information as possible. If we’re just talking, then less information may be forthcoming.
- Provide some information for our discussion session. Some, all or none of the below maybe appropriate.
- Summarize examination comments (positive and negative) along with examiner recommendations and send those to us. Include in your summary both the written comments as well as any oral communication that took place. NOTE: we may not need to see copies of the actual comments; we can always review with a GoToMeeting session.
- Gather up your current policy and procedures along with any documents you use to open accounts or perform the work. You can scan and email to our secure portal or fax them to us.
- Gather your current reports you are using now to manage compliance.
- Summarize your current monitoring efforts; provide copies of reports used.
- We’ll send you a checklist you can use to help us understand the specifics of how you operate this part of the bank and how you are managing the compliance piece.
- We’ll send you the “prelim” policy and procedure in a MS WORD format to review and revise.
- We’ll schedule a follow-up phone conference to review your changes.
- We’ll send the revised Policy and Procedure.
- You provide credit card for our billing. (Payment by ACH and/or check is also acceptable.)