D&S Compliance and Internal Audit Services

Financial institutions today face an overwhelming compliance burden as a result of Federal and State regulatory environments. In turn, many credit unions are saddled with the high cost of staffing a department to oversee compliance.

In a situation where trained officers are difficult and expensive to obtain (and even harder to keep), DeLeon & Stang offers a simple solution: outsourced compliance and internal audit advisory services. Whether your organization isn’t big enough to merit a full-time compliance staff or you have a compliance department but still need to outsource certain components, the DeLeon & Stang professionals are here to help. We also offer the added benefit of being CPAs, so our work is audit focused, includes transaction testing and documented sampling techniques and sizes. We provide an attest report you and regulators can rely on, not just a consulting report. We maintain all the requisite certifications.

We conduct timely audits with supreme accuracy and as frequently as you desire. By utilizing the latest technology available we are able to do most of our work remotely, creating greater efficiency and cost savings, and maintaining the privacy and security of your data. Ease your burden by trusting DeLeon & Stang to keep your financial institution compliant and secure.

How We Can Help

DeLeon & Stang specializes in the following:

  • Internal control(s) audits (monthly, quarterly, or annually) A partial list includes: BSA/OFAC/Patriot Act independent audit, ACH Independent audit, Website audit including ADA Compliance, SAFE Act audit, ID theft/Red flag audit, Allowance for loan losses, anti-fraud and insider reviews
  • Federal and state compliance audits comprehensive or selected audits
  • Physical and information technology security reviews
  • Risk assessments including, but not limited to, the following:
    • Bank Secrecy Act/Anti Money Laundering (BSA/AML)
    • Automated Clearing House (ACH)
    • Website
    • SAFE Act
    • ID Theft/Red Flag
    • Fair Lending Assessment
    • IT Suite of Assessments, Physical Security/Information Security and Enterprise Risk Management Assessments, Cybersecurity
  • Training on BSA/AML and other regulatory subjects
  • Compliance Hot Line Services

To learn more about Compliance and Internal Audit Services for financial institutions, please contact our Director of Compliance Services, Mike Stottlemyer, at mstottlemyer@deleonandstang.com.