Experts Mitigating Regulatory Risk Anyone can sell software. We Provide Solutions
Welcome
Mitigating risk is challenging. Let us help you! We bring our expertise and "know-how" to your team. We help programs mature. We help mitigate your greatest risk "Supervisory Risk".
A Broad menu of Services
Audit/ Review Services
Compliance / AML Consult
Compliance / AML Consult
Audit/ review services focused on all things regulatory. Don't settle for a complacent firm. Engage Us. We provide personalized review services for your Bank. Every bank is Unique. Shouldn't your audits be unique as well. We guarantee our review services will help enhance your programs.
Compliance / AML Consult
Compliance / AML Consult
Compliance / AML Consult
We have walked in your shoes. Why travel the regulatory road alone? If you are ready to leverage the skillsets of a professional who has helped countless institutions. A former OCC/ FDIC expert; a CCO and general auditor.
Call us to discuss how we can help you!
AML Lookbacks
Compliance / AML Consult
Expert Witness
Allow Us to help you through these trying times. We are an industry leader of required corrective actions. If you have to deal with a lookback, Consent order, MOU, etc. you should have some reward for the work effort.
You could engage the "big" corporate firms. They will provide the same work effort as the last client. What value will they bring to your program when the work is done.
We can help draw value from the work effort for your program. Reasonable prices and Supervisory Agency approved time- and-time again.
Expert Witness
Short and Longer Term Employment Engagements
Expert Witness
Legal issues arise on occasion. When you need an expert witness on Fraud, Anti-Money Laundering or regulatory compliance. Ken Simmons is a managing director of SEDA Experts an Elite Expert Witness firm.
Short and Longer Term Employment Engagements
Short and Longer Term Employment Engagements
Short and Longer Term Employment Engagements
on occasion banks experience disruptions in their programs due to vacancies or the need for more experienced team members. Ask about our fractional services. Ken is available to partner with your CO or AML Officer to enhance skillsets and drive success.
A Second Set of Eyes
Short and Longer Term Employment Engagements
Short and Longer Term Employment Engagements
When you feel great about what your doing. You'd just like a second set of eyes on various aspects of your Compliance or AML Program. Regulatory Compliance functions, SARs, Policies, risk assessments, etc.
Credentials
Certified Regulatory Compliance Manager
Functional Examiner In Charge (EIC)
Certified Risk Manager
Compliance Examiner
At-Risk Adult Crimes Investigator
Certified Anti-Money Laundering Specialist
Advanced Audit Certification
Certified Financial Crimes Investigator
Certified Global Sanctions Specialist
About
The differentiator is easy. Personalized service by a professional who has always been a Compliance Professional. How many of your existing consultants have actually been CCO or AML Officer?
Engaging Industry Expert on Regulatory Compliance and Anti-Money Laundering expectations. Who better to help your institution. Ken Simmons is a former Chief Compliance Officer, an OCC and FDIC Examiner for community and mid-size banks. More than 35 years proven success assisting financial institutions to surpass regulatory expectations.