Compliance Operations Management (3PRINC.COM) Consulting

The purpose of the 3PRINC.COM is to assist with the functional and oversight duties of the Compliance Officer and offer customizable onsite and offsite support for the Bank’s Compliance Program.

 

• Compliance Risk Assessment for approval by the Board

• Outline and assist with tracking staff compliance training & requirements

• Perform supplemental compliance training both on-site (in conjunction with audit visits) and offsite via web meetings as requested

• Perform  Board of Director training sessions as requested

• Provide implementation support for regulatory changes throughout the year

• Schedule and oversee compliance committee team meetings and assist with documentation for the Board and/or Audit Committee

• Create a compliance management program binder for documentation of the Bank’s Compliance Program management efforts

• Assist the Compliance Officer in implementing an internal monitoring system

• Provide virtual compliance support for questions and issues that arise

• Review new or changed disclosures developed by Bank for appropriateness

• Assist bank in preparing for and dealing with compliance examinations