Regulatory Compliance

I just need help

This institution, as do most, had well qualified and experienced people.  They needed the right leadership and guidance to understand what's next. The bank faced several regulatory criticisms that needed to be resolved.  In less than 6-months all regulatory issues had been resolved.  The team is empowered and has direction.  The existing team remained in tact and better equipped to handle future growth.

Compliance Management

It is difficult to correct mistakes of the past.  This institution found it's Compliance and BSA teams struggling due to significant supervisory criticism.  Management's first reaction was to replace employees.  THey engaged our team instead.  This team of 7 people recovered gracefully through team work and the right amount of direction from an industry expert.  Supervisory issues were resolved within 9 months and the bank did not lose a single employee.


Many institutions find themselves throwing money at challenges.  They hire more people or buy more audits.  After a while you have more people and the same problems.  The cycle of ineffective controls and processes was continual.  This Bank found they just needed the right controls (simple & effective).  We reduced their overhead by 50% and cust back on audits.  Again, within the first year, the bank was on track.  The Bank saved hundreds of thousands in cost savings.