Our Services
What we have to offer
Our Service Range
Guideline’s strategic advisors and industry experts can design or enhance all aspects of your compliance and risk governance program and ensure it’s aligned with your business model and the regulatory risks ahead.
Regulatory Compliance
- Develop, enhance, or assess any aspect of a Compliance Management System (CMS) from training to testing to exam management
- Perform or design compliance testing or risk assessments
- Enforcement action support or remediation
- Complaint management and corrective action
- Develop and/or perform compliance training
- Change management
- Examination readiness and response
FinTech
- Fractional or part-time CCO
- Policies and procedures
- Monitoring and testing
- Model validation
- Compliance training
- Risk assessments
- Complaint handling and oversight
- M&A due diligence
- Corrective action
- Compliance reporting
- Vendor/partner management
Financial Crime Compliance
- Enforcement action remediation
- Anti-money laundering (AML) requirements under the USA Patriot Act
- Regulatory exam readiness and response
- Customer identification program (CIP)
- BSA/AML risk assessments
- Suspicious activity monitoring and reporting
- Economic sanctions/OFAC screening
- Alert management/investigations
- Model identification, validation, and governance
- Advise on tools/technologies and implementation
Fair & Responsible Banking
- Examination readiness and response
- Redlining analytics and assessment area reviews
- Risk assessments
- File reviews
- Community Reinvestment Act (CRA) compliance
- Home Mortgage Disclosure Act (HMDA) data integrity and LAR filing
- Fair and responsible Banking Training
Mortgage Operations & Compliance
- Compliance with state or federal laws and regulations
- HMDA data scrubs and reviews
- Transaction Review and Testing
- Technology Analysis and Implementation
Cybersecurity, Privacy & Data Ethics
- Governance and Risk Management (including CCPA, GDPR and NYDFS compliance)
- Vendor and Third-Party Risk Management Program Development
- Training Program Development
- Cyber Insurance Data Breach Remediation Support (Incident Response and Recovery)
The bigger picture
Search Capital
Guideline is part of Search Capital, global human capital specialist with more than 300 people working across 5 brands in six locations across Europe and the USA.
