|
Building and
maintaining a time and cost effective regulatory compliance program which will
withstand the constantly shifting political winds and changes in your
institutions internal culture and external regulatory environment is a
challenge for even the most adept financial institution and its compliance
professional.
Having the right
experience and tools are pivotal to ongoing success. Since each financial
institution is unique, there is no “one size fits all” approach to managing
compliance.
There are times when the expertise and
objective assistance from an independent, experienced and seasoned compliance
specialist can add value to the compliance process—saving bank management and
the compliance professional valuable research and development time and
expense.
As an independent
professional, Gail Askins Cole, provides a variety of regulatory compliance
services designed to give you new tools and sharpen your existing tools to
improve the effectiveness and efficiency of your institution’s unique
compliance program.
Services offered include (Federal and SC
State law):
Primary
Compliance Services
|
|
Lending Compliance (incl. SC law) |
HMDA data integrity |
Deposits Compliance |
Advertising/website compliance |
CRA Technical compliance |
|
Compliance Program Support - resource assistance |
ü
 |
ü
|
ü
|
ü
|
ü
|
|
Compliance Officer Mentoring |
ü
|
ü
|
ü
|
ü
|
ü
|
|
Periodic Compliance Audits |
ü
|
ü
|
ü
|
ü
|
ü
|
|
Onsite Training |
ü
|
ü
|
ü
|
ü
|
ü
|
|
Custom written policies and procedures – by job function or
by regulation |
ü
|
ü
|
ü
|
ü
|
ü
|
|
Compliance risk assessment |
ü
|
ü
|
ü
|
ü
|
ü
|
|
Establish/improve internal monitoring |
ü
|
ü
|
ü
|
ü
|
ü
|
|
Pre exam preparation and post exam clean up |
ü
|
ü
|
ü
|
ü
|
ü
|
|
New regulation implementation |
ü
|
ü
|
ü
|
ü
|
ü
|
|
Tools to manage – forms, checklists, guides, etc. |
ü
|
ü
|
ü
|
ü
|
ü
|
|
Document Reviews |
ü
|
ü
|
ü
|
ü
|
ü
|
|
De novo services |
ü
|
ü
|
ü
|
ü
|
ü
|
|
Compliance automation and software solutions |
ü
|
ü
|
ü
|
ü
|
ü
|
|
New product/services compliance |
ü
|
ü
|
ü
|
ü
|
ü
|
|
Special Projects |
ü
|
ü
|
ü
|
ü
|
ü
|
Contact Information
To discuss services offered to meet your
particular needs,
contact me.
|
