Senior management (or the first line of compliance defense) needs to determine goals, communicate strategy, and focus on day-to-day business requirements. Our Compliance Monitoring services for both regulatory and BSA compliance provides a 2nd line of defense, supplementing the compliance function under the direction of senior management, to assist in assuring the institution adheres to defined policies and procedures.

Our customers have found several advantages to an outsourced model, including being able to focus on core compliance responsibilities and improve efficiencies. Additionally, our customers are garnering greater expertise from former industry professionals who have experience in monitoring programs and technology to identify inconsistencies, errors, violations, incomplete data, or other possible breakdowns of internal controls.

Our services help spot compliance risk issues in an organization’s operations or function and include:

Quality Assurance – Ensuring adherence and mapping of the institution’s policies, procedures, and standards.

Risk Based Internal Review – Evaluate the quality of risk management and identify gaps that may lead to potential compliance program weaknesses.  

Documentation – To adequately support defined procedures and standards, we can assist the institution in the collection and organization of supporting documentation.

BSA and Compliance Monitoring | 2nd Line of Defense

Mike Koupal


Drew Young

Managing Director