Compliance Services

Financial Controls, Inc. provides quality and superior compliance support and solutions for credit unions:

  • ACH audits (required by NACHA per ACH Rules, Appendix 8).  Click here for more information.

  • Bank Secrecy Act review, including customer/member identification program (CIP) & anti-money laundering program (AML).  
    (per NCUA Letters to Credit Unions, including 05-CU-16, 05-CU-09, 03-CU-16, & other regulatory pronouncements).  Click
    here for more information.

  • OFAC compliance review (per NCUA Letter to Credit Unions 01-CU-25).  Click here for more information.

  • Policies & procedures reviews (adequacy, completeness, compliance)

  • Compliance audits (other specific areas of concern, e.g. disclosures, mortgage loans, TIL, TIS, Reg Z, etc.)
Compliance Audit Services

Click here to read the particulars of some of the compliance audit services available.
Bank Secrecy Act Compliance Management - The Basics

Click here to read about the fundamentals of Bank Secrecy Act compliance.
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Financial Controls, Inc.
Compliance
Credit Union Services