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- Questionnaires and Checklists
- Requisite department and function elements to meet regulatory scrutiny
- Subject Matter Experts
- Our Subject Matter Experts are your engagement team!
- Executive Summary
- Report provides outline, findings, recommendations
- Risk Rating
- Based on Uniform Interagency Consumer Compliance Rating System
A Compliance Management System should reflect the size, complexity, and risk profile of the financial institution.
A Compliance Management System is how an institution:
|Summary Report and Risk Rating |
Determine the level of compliance implementation
of your Compliance Management System!
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- learns about its compliance responsibilities;
- ensures that employees understand these responsibilities;
- ensures that requirements are incorporated into business processes;
- reviews operations to ensure responsibilities are carried out and requirements are met; and,
- takes corrective action and updates materials as necessary.
An effective Compliance Management System is commonly comprised of three interdependent elements:
1. Board and/or Management Oversight
2. Compliance Program
3. Compliance Audit
When all elements are strong and working together, an institution will be successful at managing its compliance responsibilities and risks now and in the future.