Administrative Compliance Audit

The Service

Our Administrative Compliance Audit will identify and document potential compliance issues with your institution, in accordance with Federal regulations. Each audit is tailored to your individual risk profile, and includes:

  • Privacy of Consumer Financial Information (Reg P)
  • Community Reinvestment Act (CRA)
  • Bank Bribery Act
  • Right to Financial Privacy Act (RFPA)
  • Bank Protection Act
  • Advertisement of Membership (Part 328/Part740)
  • Electronic Signatures in Global and National Commerce Act (ESIGN Act)
  • Unlawful Internet Gambling Enforcement Act (Reg GG)

At discovery, details of the engagement will be outlined to ensure your needs will be met, time frames are manageable, and reports are delivered promptly.  The resulting report will give you an overall rating and show any compliance issues found.

We have developed a reporting process that delivers “risk-based” facts in a universally readable language and format.

The Scope of Work
  • Our Administrative Compliance Audits follow regulatory requirements and best practices.
  • Each engagement will be tailored to meet your unique needs.
  • On-site and remote reviews are available.

Man jumping canyon
Sailor at helm

The 10-D Compliance Difference
  • Our audits are performed by former compliance officers, auditors,  and examiners with vast experience of the inner workings of financial institutions AND in-depth compliance knowledge.
  • We provide concise, professional, and easy to read reports delivered promptly.
You would benefit from a 10-D
Administrative Compliance Audit if
  • You require quick turnaround of reports and deliverables.
  • Your budget constraints do not allow for “Big Accounting Firm” prices.
  • Your management values their time and lacks resources to conduct their own reviews.

Keep your institution off the evening news.

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