Regulatory Compliance & Audit

Mitigate risk and meet your requirements: It’s a win-win.

Customize and streamline your programs and processes to mitigate risk and supplement your internal resources. Vantage Point provides you the regulatory expertise necessary to navigate the increasing, complex regulations facing the financial industry.

Our customized solutions include:

• Risk Assessments
• Vendor Management Program Assistance
• Customized Staff Training
• Bank Secrecy Act Program/Policy Review and Audits
• Advertising and Marketing Reviews
• Policy Creation and Review
• Regulatory Exam Deficiencies Response & Correction
• Compliance Retainer Services
• Proactive Examination Preparation
• Independent Review and Audit of Compliance Program
• Consumer Loan Quality Control Review

Audit Services

Vantage Point’s experienced auditors are ready to support your financial institution as you work to mitigate risk and meet your audit requirements.

Audit Services Include:

• Development/Updating Internal Audit Charters
• Quality Assurance Reviews
• General Audit Consulting Services, including incorporating data analytics and heat maps
• Enterprise Risk Management
• Creating a Risk-Based Audit Program
• Internal Controls and Efficiency Reviews

Areas of Expertise:

IT, ACH, BSA/AML, Compliance, Website Accessibility, Operations, Branch, Security, Accounting Controls, Premises & Equipment, Items Processing, Deposit Accounts, Online Banking, Loan Operations, Time Deposits, Dormant Accounts, Safe Deposit Boxes, Commercial & Consumer Loan Audits