Overview
Category
Employment Training
Complete Compliance, Inc. (CCI) was formed to connect financial institutions with experienced professionals who can help manage their regulatory compliance operations. Through our comprehensive service approach, we not only identify clients regulatory compliance needs, but COMPLETE the process by assisting them in fixing these issues and implementing plans for sustainable regulatory compliance. In-house Training CCI offers training in an extensive variety of topics to keep clients up-to-date on constantly changing compliance rules and regulations that affect day-to-day operations. From in-depth guidance reviewing regulatory audits to clarification on the most commonly difficult compliance areas, we deliver tailored training designed to fit clients’ unique needs. Compliance Reviews Depending on the needs of a client, we can conduct reviews to evaluate an institution’s overall compliance program or their specific areas of concern. Regardless of the scope of a review, our consultants conduct a full risk assessment by imitating financial examiners and sampling actual transactions throughout the process, addressing every aspect of the area of concern. Policies and Procedures Compliance policies and procedures are required by all regulatory agencies, and financial institutions are expected to remain current on these regulations and accurately reflect them in their compliance programs. We can evaluate clients’ existing policies for adhering to these regulations and offer our recommendations for improving and streamlining these procedures. We can also assist institutions in preparing full compliance program policies. Responses to Regulatory Agencies When regulatory criticism or recommendations are received, financial institutions must make their response a priority. We bring experience in helping clients respond to regulatory agencies, ensuring that the plan of action is appropriate, efficient, and effective.
