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Compliance advisory services

Compliance is a challenging practice area for companies of all sizes, from pre-launch fintechs to large institutions. In many cases, sitting down for a friendly Q&A with subject matter experts can be a hugely helpful exercise.

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

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Quick, trusted advice

We’re experts in financial compliance, and are ready to offer friendly advice and pointers. Our team includes former regulators, compliance program architects, regulatory policy makers, and the author of the American Bankers Association’s Guide to Regulatory Compliance. (Yes, she literally wrote the book.)

“ 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

Zoro

 

Companies we’ve advised

  • Brex
  • Celo
  • Novo
  • Petal
  • Zoro Card
 

How we can help

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    Free 30-minute advisory session

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    Additional advisory services and / or referrals

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    AML training; access to video training

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    Staffing assistance

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    Ongoing access to network of regulatory experts

 

We have expertise in a wide range of financial compliance practice areas, including

  • 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 happy to point you in the right direction.

“ 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

Celo

Speak to an adviser in three easy steps:

  1. 1 Choose your time
  2. 2 Fill out a short survey
  3. 3 Join your meeting

Meet our advisors

  • 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 Hummingbird’s regulatory strategy advisor. She is an expert in financial regulatory compliance and banking law. She brings 30 + years of compliance experience, having held positions as legal counsel, chief compliance officer, and compliance consultant. Previously, she served as managing director at Treliant, LLC, where she led regulatory compliance and developed the Treliant Institute for Strategic Compliance Leadership. She is the author of the American Bankers Association’s Reference Guide to Regulatory Compliance, a guide she has updated for more than three decades. A specialist in consumer protection law, she is a regular speaker at bank and fintech conferences.

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    Steve Carlson

    Executive Chairman

    ForwardLine Financial

    Steve Carlson is the executive chairman of ForwardLine Financial, a PE-backed lender working to help America’s small businesses improve their financial health. He also serves as an advisor to a fintech fund and multiple early-stage and mid-market businesses. Prior to ForwardLine, Steve helped co-found Ascend, a company rethinking consumer lending through the use of behavioral economics and real-time data. A former head of marketing and business development at Intuit, he has also held senior executive roles at HSBC and Washington Mutual.

    Steve brings an in-depth awares of the fintech landscape, regulatory challenges (he’s an inaugural member of the CFPB’s Consumer Advisory board), and market dynamics. His knowledge of management, marketing, and development strategies makes him an expert advisor to businesses in any stage of growth.