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Compliance Advisory Services

Got compliance questions? Book time with our experts in financial compliance and regulations.

Advisory Services

Quick, trusted advice.

Compliance is a challenging practice area for financial companies of all sizes, from pre-launch Fintechs to large institutions. There are a lot of situations where it would be helpful to ask a few quick questions and get pointed in the right direction.

We’re experts in financial compliance and offer friendly advice and pointers. Our team includes former regulators, compliance program operators, policy makers, and the person who wrote the American Bankers Association’s Guide to Regulatory Compliance. We’ve seen and dealt with most issues, but will be the first to let you know if you’re in uncharted territory.

Office hours
ZoroCard

"Hummingbird was instrumental in helping us find the best bank partner for our program and pass their diligence process. Working with the Hummingbird Team was like a crash course in best practices for building an effective, scalable compliance program."

— Roger Morris at Zoro

30-Minute
Slots

Free
Session

Compliance
Experts

Sample of companies we’ve advised:

How we can help

  • Free 30-minute advisory session
  • Additional advisory services and / or referrals
  • AML training; access to video training
  • Staffing assistance
  • Ongoing access to network of regulatory experts

Some of the topics we can help with

We have expertise in a wide range of financial compliance practice areas. Some of the topics where we get a lot of questions include:

  • Anti-money laundering (AML/BSA) fundamentals
  • Customer onboarding / KYC
  • Transaction monitoring
  • Investigation procedures
  • Compliance reporting
  • Suspicious Activity Reports (SARs), STRs and UARs
  • Sponsor bank audits
  • Regulatory licensing and exams
  • Compliance program policies
  • Transaction dispute management (Regulations E & Z)
  • Customer complaint handling

Bring any questions you have about financial compliance - if we don't know the answer, we'll be able to point you in the right direction.

Celo

"Hummingbird understands the fintech compliance space, even cutting edge crypto use cases. They helped us get a handle on what to do strategically, which saved a lot of time and effort as we started to ramp up."

— Jai Ramaswamy at Celo

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Matt Van Buskirk

Matt Van Buskirk

CEO of Regulatory at Hummingbird
Former Regulator

Matt Van Buskirk is Co-Founder and CEO of Regulatory at Hummingbird Regtech. Hummingbird is on a mission to turn the tables against criminals who pollute our financial system. Modern criminals are sophisticated, tech-savvy, and agile. The tools used to fight financial crimes should be, too.

Prior to launching Hummingbird, Matt was the Director of Regulatory Affairs at Circle.com, an international consumer payments startup leveraging blockchain technology, a consultant with Treliant Risk Advisors, and a regulator with the U.S. Treasury Department's Office of Thrift Supervision.

Lyn Farrell

Lyn Farrell

Regulatory Advisor
Previously with Treliant, LLC

Lyn Farrell is a financial regulatory compliance and banking law executive with 30 + years of experience as legal counsel, chief compliance officer and compliance consultant to the financial services industry. She is the Regulatory Strategy Advisor for Hummingbird, a RegTech company offering AML solutions. Lyn was previously a managing director at Treliant, LLC where she led the regulatory compliance practice and developed the Treliant Institute for Strategic Compliance Leadership. She is the author of the ABA’s Reference Guide to Regulatory Compliance, and has updated this guide for 28 years. She is a specialist in federal consumer protection laws and regulations and has been a speaker at numerous bank and fintech conferences for many years.

Steve Carlson

Steve Carlson

Executive Chairman
ForwardLine Financial

Steve is the Executive Chairman of ForwardLine Financial, a PE-backed lender helping America’s small businesses improve their financial health. Steve serves as an advisor to a fintech fund, as well as multiple early stage and mid-market businesses. 

Prior to ForwardLine, Steve was the co-founder and CEO of Ascend, where he led a team in defining the next generation of consumer lending through the use of behavioral economics and real-time, post-acquisition data. The former head of marketing and business development at Intuit, Steve has also held senior executive roles at HSBC and Washington Mutual, and advised global financial services firms. 

Steve is highly versed in the fintech landscape, regulatory challenges, and market dynamics. Proven and deep general management, strategy, marketing, business development and capital markets expertise. Demonstrated success managing businesses through rapid growth phases and structural realignments, as well as through all phases of the macroeconomic credit cycle. Inaugural member, Consumer Financial Protection Bureau’s (CFPB) Consumer Advisory Board.

Ready to get started?

Request a demo or get in touch to learn more about how we can help you fight financial crime.