Fintech: Consulting Services for the Innovation Age

In today’s environment you must meet your customer’s changing needs. Advancing financial technology or fintech can help you get there. Neobanks, nonbank financials and pioneering financial institutions partnering with or deploying innovative technologies, are subject to various compliance regulations and the costs of noncompliance can be high. Our consultants understand disruptive technologies and advise banks, credit unions, marketplace lenders and others on compliance measures needed to keep pace with emerging trends and changing requirements. Rely on us to do a complete evaluation of compliance programs, identify gaps, and recommend enhancements needed to achieve and demonstrate compliance.

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Compliance Management System (CMS) Reviews

Engage our consultants to review compliance policies, processes, controls, monitoring, reporting, training and systems to develop a gap analysis and actionable recommendations to improve the operational efficiency and overall CMS against the requirements of federal regulators.

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Unfair and Deceptive Acts and Abusive Practices (UDAAP) Reviews

A risk-based evaluation of the CMS for alignment with consumer protection principles, including UDAAP, to determine whether it sufficiently monitors, identifies and addresses potential acts or practices that materially increase the risk of consumers being treated in an unfair, deceptive, or abusive manner.

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Fair Lending Reviews

A statistical review of a specific dataset to determine potential discrimination on a prohibited basis done by comparing lending patterns to demographics and peers. The Review can also include focal point reviews, conduct regression analysis to identify outliers, and isolate data to assist with comparative file reviews.

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Due Diligence for New Partners

A CMS review of strategic partners, including: Fintech partner review, due diligence, CMS review, compliance program diagnostic/gap analysis, vendor management program review, third party risk assessment, compliance program development.

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Risk Assessments

An evaluation to identify hazards related to non-compliance with consumer protection regulations due to inadequacy of controls or program gaps.

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Policies & Procedures-- Training

Staff and Board training on new regulations and policies and procedures as part of maintaining a strong CMS.

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