Compliance Review Information

The Compliance Division provides a comprehensive, risk based approach to compliance review by specializing in providing community banks real solutions and guidance through ever changing consumer protection and anti-discrimination regulatory requirements. By evaluating compliance with current regulatory standards and providing on-site training, a bank is able to best control its compliance management function. Prompt written reports of our findings, as well as recommendations, will be provided at the conclusion of the review to senior management other applicable personnel in an exit meeting format.

Our contractual obligation does not end when our review(s) are completed. Your bank can contact us at any time for assistance with questions or in office review of documents. We will gladly review your updated disclosures, advertisements and field your questions to ensure your institution is in compliance at all times, not just after the review. Unless the scope of these questions or additional reviews requires more than one hour of our time, no additional charge will be incurred by your bank.

The number of weeks that we contract for will generally depend on the bank’s asset size and / or seriousness of compliance issues. Our company offers a number of services which are sure to meet your institutions needs. Based on your bank’s immediate needs, the current regulatory environment and consultation with management, we will determine a course of action and recommend specific reviews for your bank. If none of the reviews or services below meets your bank’s specific compliance needs, please let us know and we will work to meet your specific needs.

During each review the bank’s Compliance Management System or Compliance Program will be reviewed for adequacy. This will include a review of a bank’s written policies and procedures, training program, risk assessments, management structure and Compliance Officer’s authority and responsibilities.

Our Company’s regulatory compliance services are currently utilized by banks and other financial institutions located in many different states such as: Texas, Louisiana, Illinois, Arkansas, Alabama, Tennessee, Michigan and Kansas.


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