The Service

The goal of an Administrative Compliance Audit is to identify and document known compliance issues with the institution, in accordance with Federal regulations. Each audit is tailored to the client’s 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 the client’s needs will be met, time frames are manageable, and reports are delivered appropriately.  The resulting report will give the institution an overall rating and show any compliance issues found.

10-D has developed a reporting process that delivers “Risk Based” facts in a universally readable language and format.

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The 10-D Compliance Difference

  • Audit performed by former compliance officers, auditors,  and examiners with vast experience of the inner workings of financial institutions AND in-depth compliance knowledge.
  • Easy to read and understand reports which are delivered promptly.
  • Examiner-approved work paper solution.
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Who Benefits from an Administrative Compliance Audit?

This service applies to organizations:

  • Require quick turnaround of reports and deliverables.
  • Whose budget constraints do not allow for “Big Accounting Firm” prices.
  • Whose management values their time and lack resources to conduct their own reviews.

The Scope of Work

  • The scope of our Administrative Compliance Audits follow regulatory requirements and best practices.
  • Each engagement will be tailored to meet each client’s unique needs.
  • On-site and remote reviews available.

Keep your institution off the evening news. Contact us today!

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