Compliance Audit Services

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With 40 years of industry experience coupled with Law Enforcement expertise, we offer broad range of compliance, audit and risk management services covering 

• Bank Secrecy Act (BSA) 
• Anti-Money Laundering (AML)
• Office of Foreign Asset Control (OFAC) and 
• Sanction compliance.
• Know Your Customer (KYC)
• Customer Identification Program (CIP)
• BSA/AML Risk Assessments
• BSA/AML Risk Based Compliance Programs customized specifically for your business
• Compliance Monitoring Programs to help continuously assess and mitigate risk
• Lookbacks & Forensic audits
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• Remediation Programs and Assistance

Money laundering, terrorism, sanctions, and fraud pose major risks to today’s global financial system. Businesses must protect against financial crimes while supporting growth and controlling costs.  

Our team of professionals who also carry law enforcement experience can help detect suspicious transactions, and criminals using your institutions to commit crime. We specialize in assisting trouble financial institution to clear their enforcement actions and obtain a good bill of health. 

So, let us help you proactively detect and report suspicious transactions to avoid substantial penalties, and risk of damaging your reputation with regulators and investors.

We provide broad range of audit services including:

• BSA 
• AML
• Sanction
• Forensic
• IT  
• Internal audit or
• Product specific audit

Let us help you to start with Risk Assessments and do a health check-up for your institutions to  identify areas of high risk, and develop risk mitigation programs, using industry best practices.

Our team of professionals can also help you to prepare for regulatory audits or audit remediation. 

Our broad range of Technology Services include but not limited to:

• System Implementations 
• System Evaluation/Certification
• Cyber/Financial Crime Investigation
• IT Strategy and Planning
• IT Service Management Assessment
• Regulatory Reporting support and Axiom implementation
• Business Processes and Cost Optimization
• Risk Management
• Program and Project Management
• Project Management Office (PMO)
• M&A End-To-End Integration
• External/Fed/OCC Audit Support & Remediation    

Risks that threaten business operations are more prevalent and all the more difficult to handle. Similarly, it has become increasingly challenging for firms to address the risks associated with technology and its management — from hackers to myriad privacy regulations across the globe. 

We have in-house expertise to help you find solutions for your challenges.  

Let our professionals help you solve your most difficult, technically complex, and sensitive challenges including: 

• Combating Financial Crime and Fraud
• Controlling Financial Risks
• Mitigating Risks in Technology and Business Operations
• Enhancing Programs for Regulatory, Compliance, and Conduct Risk
• developing and Implementing Strategy 

We provide wide-range of advice to help clients secure their organization and new areas of business, navigate through changes in regulation, and enhance organizational transformation. 

Let us help you cope with global risk and regulatory changes, while managing your cost. Regulatory compliance burden as well as cost of managing risk associated with cyber crime or financial crime continue to grow and heart financial institutions across globe. We help our client manage cost while meeting these requirements and challenges.

To learn more about our strategy and how we may be able to assist you, give us a call today or drop us a note and we will contact you within 24 hours.