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Federal Regulatory Compliance Management

Level One-Compliant

MAPS supplies compliance management programs to banks that want to be Level One-Compliant. We help install the systems, procedures and staff required to get ahead of fast-changing regulatory demands. We provide written policies and procedures that help you stay on the right side of the compliance line.

Here are typical compliance processes we conduct: 

• Board training and involvement

• Compliance program needs assessments

• Development of custom compliance policies and procedures

• Evaluation of compliance software systems

• Assisting staff to prepare for examinations

• Conducting compliance audits and reviews

• Budget development and tracking

• Consulting for remediation of exam knowledge weaknesses

Please note that our services do not substitute for your bank’s compliance department. It is a supplement that will enhance your efforts and move you from average to excellent.

Reporting Systems

Banks need more than mere recordkeeping systems, automated or manual, fancy or plain. They must also assess customer risk at the account level and over entire classes of accounts. This effort requires systems that are complex and involves humans and computers. How do you separate vendor promises from actual performance? How do you objectively assess the skills of your own staff?

Bring MAPS to the table to provide sensible, knowledgeable counsel to supplement your own reporting resources.

Areas of Special Interest

• Needs assessments, program reviews and audits

• Vendor software assessments and evaluations

• BSA-AML-USPA customer information security

• IT audits and reviews

• Disaster recovery policies and procedures review

• Advertising compliance reviews and audits

• HMDA and loan compliance reviews

Policies and Procedures

Federal regulations require written policies and procedures your bank can use as compliance guidelines. Most examiners do not want to be presented with a cut-and-paste policy or procedure. They want a written narrative, specific to your bank and your circumstances, that reflects reality.  They want to see a document that even an inexperienced staffer can accurately and promptly use to conduct banking business that complies with the law. If you don’t have current, clear and comprehensive policies and procedures, you are running a needless risk.

MAPS provides policy and procedure audits and reviews. We also revise current policies or re-write as required.