Compliance Consulting
As Compliance Consultants we help clients with:
- Compliance Program Management Framework
- Corporate Compliance Program
- Compliance Action Plan
- Creation or enhancement of policies, procedures, and operating manuals
- Managing Ad-hoc Projects (Compliance System Evaluation, etc.)
- Responding to Regulatory Inquiries
- Leading compliance education/training
Audits / Exams / Investigations
EICCIO Advisors are experienced regulatory and compliance professionals and can help you identify and manage risks. All audits are conducted against industry regulations and firm procedures.
- Mock Exams (SEC, FINRA, MSRB, FDIC, State Regulators)
- Control Design and Effectiveness
- Corporate Governance
- IRS / State Regulations Nonprofit Compliance
- Financial Crimes (KYC, AML, and Sanctions Screening)
- Ethics & Compliance
- Annual AML Exam
FinTech and RegTech Advisory
EICCIO Advisors can help you with any FinTech or RegTech project. Areas of coverage include:
- Banking and Credit Union Regulation & Compliance
- FinTech and Cryptocurrency Compliance
- Virtual Currency Exchange Regulation and Compliance
- Financial Crimes Compliance and Payment Fraud Prevention Technology Strategy and Solutions
- Securities Regulatory & Compliance
- Crowdfunding Portal Registration
Be sure to tell us your challenge.
Mentoring
EICCIO Advisors can knowledge share and mentor your staff so that they understand regulatory expectations through direct and indirect face-to-face interaction.
Schedule a Free Consultation
How can we help?