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Compliance Officer

RDK & Associates, Inc. can provide consulting services regarding your compliance program management.  Based on the institution’s needs, RDK can provide compliance officer consulting, compliance program management consulting, or periodic guidance and assistance.  This program can be tailored to the Institutions needs, and can include the following

  • Establish operational procedures for all compliance areas within the bank and perform various operational procedures as needed.
  • Review and test random transactions pertaining to the compliance areas of the bank (i.e. CTRs, hold notices, loan disclosures, etc.)
  • Develop and maintain all compliance policies.
  • Train employees.
  • Organize and chair the compliance committee.
  • Present monthly compliance report to the Board of Directors.
  • Provide a liaison between the bank and examiners during regulatory exams.
  • Correct deficiencies and violations noted in reports of examination or audit reports and prevent repeat deficiencies and violations.
  • On call for phone consultations.
  • Other duties as negotiated by the bank.