Compliance Services

"Review your compliance program to determine whether it meets the standards established by the Basel Committee on Banking Supervision and the federal banking agencies."

Catalyst Deliverables
Our professionals will provide a point-by-point report on the results of our review, recommend the most effective structure for a compliance program or program component, and assist in implementing the appropriate solution.  

Areas addressed include:

• Organizational structure
• The role of the board of directors, any board committee and senior management
• Reporting relationships (external and internal)
• Compliance policies and procedures (including code of conduct)
• Identification of applicable laws and regulations
• Compliance risk assessments and controls
• Compliance monitoring/testing process
• Reporting of monitoring results and other compliance issues to senior management and board of directors
• Corrective action process
• Compliance information to senior management and staff, including the implementation of new and amended regulations
• Compliance training

Benefit

• Confidence in detailed reviews based on up-to-date procedures, applicable laws and regulations
• Written reports and discussions with management and/or audit committee
• Recommendations based on "best practices"
• Assistance with corrective actions