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Compliance Audit and Monitoring

Our staff has extensive and current training and experience in regulatory compliance.  A compliance audit or review assesses the effectiveness of the institution’s internal polices, procedures and audit functions and can be tailored to your specific needs.  We offer a full range of compliance audit and support.  The specific regulatory compliance areas tested can be determined by our staff or your management based on an assessment of risks and needs to focus audit resources toward higher risk areas. 

Some of the more popular compliance reviews include:

  • Bank Secrecy Act and USA Patriot Act including large currency transaction reporting, record keeping, anti-money laundering, suspicious activity reporting and customer identification.

  • GLBA and a review of information security program effectiveness. 

  • Regulation Z - Truth-In-Lending

  • Credit Card Disclosures

  • Overdraft Protection Lines of Credit

  • Student Loans

  • Broker Compensation Rules

  • RESPA - Real Estate Settlement Procedures Act

  • SAFE Act

  • Appraisal Independence

  • Fair Credit Reporting Act

  • FACT Act and Address Change Procedures

  • Risk Based Pricing

  • Residential Real Estate Quality Control.

  • Regulation CC – Funds Availability Act

  • Regulation DD – Truth in Savings

  • Regulation D – Excess Debits       

  • Regulation E – Electronic Funds Transfer

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