Consulting Services

We've been a leading compliance educator and trusted advisor for thousands of financial institutions and compliance professionals for almost 20 years.  Now you can bring our expertise on-site with our compliance consulting services.  No matter what your compliance needs may be, we have a solution for you!

Our consulting services include:

• Development or Restructuring of Compliance and BSA Programs - Whether your institution is a de novo in need of programs, or an existing institution that needs to strengthen a current program, our experts can help you build an efficient and effective compliance or BSA program.
• Policy and Procedure Development - Effective policies and procedures are crucial to keeping your staff compliant, but drafting them can be extremely time consuming and difficult.  Let us do the work for you by developing policies and procedures that are compliant, customized for your needs, and clear and understandable for your staff.  Some of our most popular projects are:
  • Identity Theft Prevention Program - From identifying covered accounts to administration of your program, our compliance experts can help you put your risk-based program in place before the November 1, 2008 deadline.
  • Deposit Operations - High staff turnover and changes in your automation make deposit operations compliance a challenge.  Whether you're looking for procedures for CIP and account opening, Regulation E error resolution, or anything in between, our procedures can give your staff the clear and easy-to-follow direction they need.
  • Consumer Lending - The regulatory requirements on consumer lending seem to be increasing daily.  Our comprehensive, step-by-step procedures help you keep your lenders compliant without increasing their burden.
• Compliance Risk Assessments, Reviews and Audits - Put our experience and knowledge to work for you with a review or audit of your compliance program, BSA program, fair lending practices or any other compliance-related aspect of your institution.  We can also perform a compliance risk assessment, where we:
  • Review your operations for compliance,
  • Suggest ways to improve the efficiency and effectiveness of your compliance program,
  • Recommend changes to your practices that can save your institution money and increase revenue, and
  • Develop a 12-month action plan for your compliance program based upon our findings.

Need more information?  Contact us today by calling us at 800-547-2462 x 2, or e-mailing us at compliance@fisregulatoryservices.com.