Administrative Compliance Audit

Administrative compliance audits are all-encompassing examinations for financial institutions. Regardless of your industry, complying with regulations will protect you from violations that lead to hefty fines or penalties. Performing an annual audit is one best practice to advance your company and set yourself up for success.

10-D Compliance offers professional administrative compliance audits for all-size operations. This audit will examine your organization's compliance with regulatory guidelines, find communication gaps, and give you ways to improve your process and structure. We can evaluate your current system, find weak spots, and help you improve your process without adding extra work for employees.

About Our Service

Our audit will examine your compliance procedures based on industry, activities, services, and federal guidelines.

During our audit, we will evaluate your process according to the following regulations: 

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

Before we begin, we establish a timeline and details to ensure prompt delivery and manageable time frames. We have developed a reporting process to analyze risk-based facts in a universal language and format so that anyone can access and understand potential compliance issues. Our report will give you a detailed summary of every test we run, outline every compliance issue, and provide concise areas for improvement. 

Our Scope of Work

All administrative compliance audits follow regulatory requirements and best practices, and we tailor our service to meet your institution's needs. 10-D offers remote and in-person audits to assess your system on your schedule. Former compliance officers, auditors, and examiners leverage years of experience and industry knowledge to complete each audit. 

Choose 10-D Compliance if you: 

  • Require quick reports and deliverable turnarounds. 
  • Have tight budget constraints. 
  • Prefer to allot team resources for other reviews. 

With years of industry experience, we know what to look for and alert you to potential compliance issues. By choosing our team to handle your compliance audit, you can remove stress for your internal team and free up resources for other operations. 

Learn More Today

Whether you are new to the industry or revamping your procedures, compliance is a must - trust 10-D to enhance your operations and maintain compliance with multiple organizations. We streamline the auditing process to protect your business and maintain compliance. 

Request a quote or contact us online to begin the audit process.

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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.

Contact Us