Overview

Our Consulting Services team offers compliance consulting and compliance administration program (CAP) support services to SC+S audit clients and other institutions of all sizes and risk profiles. Our dedicated Compliance Consulting Director, is organizationally separate and independent from our audit services group, which allows us to provide consulting services to audit clients without impacting the independence of our audit team. Our Compliance Consulting can provide a wide array of assistance, including, but not limited to the following:

  • Assistance with the development and enhancement of compliance and BSA-related risk assessments
  • Policy and procedure review and development
  • Compliance and BSA Board and staff training
  • Regulatory implementation guidance and assistance
  • Development of issue tracking and remediation programs
  • Examination preparation
  • Development and administration of in-house compliance and BSA monitoring programs
  • Compliance and Audit Committee attendance
  • Form and disclosure review and development

The regulatory compliance environment is constantly evolving and has become increasingly more complex. This is why many financial institutions have used our consulting and CAP services to fill in when a compliance officer leaves, to supplement existing resources during mergers, acquisitions and conversions and/or to respond to regulatory orders.

SC+S Compliance Consulting division offers a team of experts with many years of experience and strong regulatory compliance backgrounds. Our services are flexible, and we tailor each engagement to the needs of our clients. As such, we will partner with you to ensure we develop the right program to meet the needs of your institution.