Our Services

• Our services include outsourced internal audit, regulatory compliance audit, monitoring and support, Bank Secrecy Act audit, consulting and AML system validations, IT audit and consulting, and general related consulting services. Our specialty is financial institutions.

• Our mission is to ensure a value-added relationship

• Our goal is to be viewed as an extension of management

• Despite partnering with Management, we ensure absolute independence and objectivity

• We recognize the uniqueness of each client

• Our services are tailored to individual client risk and circumstances

• Our professionals respond to individual client uniqueness

• Our services go well above “expected levels”

Internal Audit

• Based on a risk assessment of operational areas

• Would be adjusted based on a refinement of risks

• Assurance of knowledge of auditable areas

• Past audit and exam results factored into risk assessment and audit schedule

• Management/Audit Committee concerns factored into planning

• Initiatives of the client incorporated in the audit plan

• Final review and approval of Audit Committee is assured

• Plan and process customizable to client preferences

• Single or requested audit services available

• Audits are executed by subject matter experts

Compliance Audit

• Based on the risk of various regulations

• Consider past examination and audit results

• Focused on regulatory “hot spots”

• Designed to help ensure awareness and avoid examination violations and consumer concerns

• Deep and focused scopes help assure a strong compliance program

• Dedicated staff with deep regulatory background execute these services

Information Technology

• Technology infrastructure controls review

• External network penetration testing and web app testing

• Internal network scanning and vulnerability assessments

• Social engineering testing (electronic, phone, and onsite)

• Remote vulnerability assessment scanning

• Banking application technology control review

• Consulting options available

Compliance Monitoring and Support

• Services are designed to provide support and supplement internal resources

• Monitoring is based on risk and focused on “hot spots”

• Monitoring programs are customized to fit client preferences and need

• Support to assist with understanding and implementing regulatory changes

• Services help ensure a strong compliance program and examination preparedness

• Dedicated point of contact for compliance-related questions and needs

Bank Secrecy Act Services

• Deep and focused testing to help ensure a strong, BSA Program

• Scope of audit efforts designed to meet and exceed examiner expectations

• Consulting services to assist in ensuring adequate program design and structure especially related to MSBs, marijuana customer oversight, and other high-risk considerations

• The goal is to ensure examination preparedness

• AML system validation services are available

• Services are executed by those with BSA expertise