Financial Institution Compliance Services

The heart of the Compliance Alliance, all-inclusive compliance solution is our proprietary banking compliance library of tools and products. Let's take a look at what's in the library:

Checklists    /    Procedures    /    Summaries

Checklists    /    Worksheets    /    Flowcharts

Forms    /    Calculators    /    Risk Assessments

Past Webinars    /    Past Huddles    /    Training

So, What are the key components of your service?

C/A's Asset Allocation Approach fully integrates compliance support throughout your organization – each bank function is addressed and fully-searchable – from the boardroom to the tellers and beyond. 

C/A tackles Cost-consolidation and Vendor Management by offering an all-inclusive federal and consumer regulatory guidance that includes: 

Unlimited access to attorneys and compliance specialists from 7 am to 6 pm Central time
Unlimited document reviews, including advertising, marketing, product literature, policies, procedures, disclosures, and more – submitted online with a typical three business day turn-time for smaller documents.
Hotlines staffed for support 11 hours a day, Monday through Friday by experienced professionals who understand the regulatory landscape and the changing nature of risk assessment.
Unlimited access to our Online Bank Compliance Training resources

Complicated rulings and regulations

Chief Financial Officers, Risk Managers and Compliance Officers nationwide have come to rely on C/A's compliance specialists to supplement current understandings or when revisiting complicated rulings and evaluating risk exposure.

For a financial institution's in-house compliance program, what is the value of unlimited yearly access to live compliance chats and phone hotlines, email for compliance Q&A and document review, as well as monthly webinars, peer-to-peer member huddles, weekly instructional videos and more than 1400+ essential compliance checklists, risk assessments and other tools for every department of your financial institution, including your executive suite – all created to save you research time and insure your staff and all your programs are compliance-ready?

Serving over 400 banks nationwide, Compliance Alliance constantly monitors the needs of bankers to provide the most sought-after resources for banking compliance–for banks of all sizes. When we say "Developed by bankers for banks," we mean it. Being owned by 28 State Bankers Associations gives us an uncommon perspective on the challenges facing community bankers and what helps bankers level the playing fields. In an unprecedented era of regulatory change, Compliance Alliance has become the one source for the most complete, and the most focused, third-party compliance service in the U.S. today.

Compliance Alliance members enjoy:

Our All-Access Hotline

Any employee of a member bank can contact Compliance Alliance to address their regulatory and consumer compliance questions or concerns. The hotline is available from 7:00 AM to 6:00 PM Central Time Zone by phone, email or live chat. In most cases, our turnaround time is immediate for phone calls or live chats. In the event a question is more complex and additional research must be done, you'll have an answer from our hotline specialists within two hours.

Document Reviews

Find comfort in knowing that your documents are fully compliant by submitting them for review by our in-house compliance specialists. Our team will conduct a full analysis and return documents with recommendations within three business days (depending on the complexity). Our members get unlimited reviews, so you can edit your documents after addressing our recommendations and resubmit them for additional rounds to ensure full compliance with federal regulations.

More About Document Reviews

Our Library of Compliance Tools

Compliance Alliance provides the most comprehensive list of tools for download and services including, but not limited to:

  • Calculators
  • Cheat Sheets
  • Check Lists
  • Compliance Calendar
  • Flowcharts
  • Forms
  • Handouts
  • Huddles
  • Matrices
  • Policies
  • Procedures
  • Risk Assessments
  • Signage
  • Summaries
  • Training Tools
  • Webinars
  • Worksheets

If you can't find what you need on our website, contact us. We create tools for our members at no additional charge.

Explore Our Tools

Easy Access to Regulations

The Compliance Alliance website contains quick access to both federal and state regulatory information and allows members to easily search regulations online. Our hotline is also available to do the federal research for you!

More About Regulations

Summaries of New Regulations

1,500 page regulations have become the norm. Toss the book aside and let Compliance Alliance do the work for you. Our attorneys summarize each new regulation using layman’s terms to explain exactly how your bank will be impacted by the changes. Our summaries also include action plans for implementation.

Regular Updates on Regulations

Staying up-to-date can be one of greatest challenges of banking compliance. Compliance Alliance members receive daily, weekly and monthly emails noting important news items, overviews of recently added tools and comprehensive information about regulatory requirements and changes. Through consistent communication, we keep our members informed and ahead of the curve when it comes to the latest changes in the banking industry.

Peer-to-Peer Huddles

Compliance Alliance recently launched "Compliance Huddles," our latest offering. These "Huddles" allow for compliance professionals from across the United States to discuss "hot topics," recent examinations and general compliance concerns in a supportive and encouraging environment. Our experts moderate the discussions and provide feedback to questions as well. "Compliance Huddles" have also proved to be a unique networking opportunity for our member banks.

See Our Events

More About Membership

Participating in one of our free live demos is the best way to experience our program's benefits. Check out our upcoming live demo dates, and we'll provide you with a guided tour of the Compliance Alliance website and introduce you to all the benefits of membership.

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Become a Member