Compliance Consulting Services

Why Choose Key Compliance Group?

We specialize in providing regulatory compliance solutions for banks and FinTech companies. With years of experience and a deep understanding of federal and state banking regulations, we are committed to helping you achieve and maintain compliance. Explore our comprehensive suite of services below to see how we can support your organization’s compliance needs.

Let’s Work Together. Contact us today to learn how we can help your organization achieve compliance and stay ahead of regulatory changes.

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Compliance Management System (CMS) Design & Buildout

Build a customized CMS that meets regulatory expectations and supports efficient, scalable compliance operations. Includes risk assessments, monitoring tools, and internal control frameworks.

BSA/AML Program Design & Buildout

Design and implement a risk-based BSA/AML program that covers customer due diligence, transaction monitoring, SAR procedures, and training—ready for audits and regulatory exams.

Compliance Policy Drafting & Revisions

Develop clear, actionable policies aligned with current regulations and business operations. Includes full policy drafting or revisions to existing frameworks.

Operational Process Development

Design operational processes that align with regulatory requirements. Ensure procedures are audit-ready, scalable, and integrated with compliance controls across business lines. Examples include:

Account Onboarding (i.e., CIP/KYC, CDD, and EDD)
Unauthorized Transaction Handling (Reg. E/EFTA)
Error Resolution for Credit Products (Reg Z/TILA)
Credit Reporting & Furnisher Dispute Handling (FCRA)
Identity Theft & Fraud Claim Resolution (FACTA/Red Flags Rule)
Complaint Intake & Remediation
SCRA Benefit Requests
and More

Compliance Training & Coaching

Deliver targeted training and executive coaching to embed compliance knowledge across teams. Sessions are customized to roles, risk areas, and regulatory expectations.

Regulatory Compliance Issue Mitigation

Identify and resolve compliance issues before they escalate. Includes root-cause analysis, corrective action planning, and ongoing monitoring support.

Independent Compliance Testing & Validation

Conduct objective testing of controls, policies, and procedures to confirm regulatory compliance and operational effectiveness. Detailed reporting with clear remediation guidance.

Website & Marketing Asset Review

Review websites, disclosures, and marketing content for regulatory compliance, including UDAAP, privacy, and fair lending considerations. Identify and correct high-risk content.

Audit Preparation

Prepare for regulatory exams with a full readiness review, documentation support, and mock audits. Address gaps and ensure alignment with examiner expectations.

Regulatory Risk Assessments

Assess and prioritize compliance risks across products, processes, and partners. Results drive risk-based controls and efficient resource allocation.

QA on Operational Procedures

Evaluate procedures for accuracy, consistency, and regulatory fit. Recommendations target practical improvements and reduced compliance risk.

Fractional CCO/BSA Officer Services

Access experienced, credentialed compliance leadership on a flexible basis. Backed by CRCM and CAMS certifications, this service is ideal for emerging or growing institutions seeking strategic oversight and regulatory representation without the commitment of a full-time hire. Gain the expertise to navigate complex regulatory requirements with confidence and credibility.

Find out more about our staffing solutions.