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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.

Yvette Hollingsworth Clark

Yvette Hollingsworth Clark

Regulatory Advisor
Expert in compliance and risk management

Yvette Hollingsworth Clark is an expert in the complex arena of compliance and risk management for global financial institutions. Yvette offers expertise in corporate governance, risk management, compliance, and regulatory agency relationship management along with strengths in strategic planning and execution. Her successes in operational turnaround, enterprise framework restructuring, and global team management are valuable in helping organizations navigate risk, change, and growth.

She began her career with the Federal Reserve before transitioning to corporate leadership roles with Citigroup, Barclays, and most recently Wells Fargo, where she was Executive Vice President and Chief Compliance Officer. With Wells Fargo, she spearheaded innovations in RegTech-supported risk management platforms, overhauled consumer protection frameworks, and strengthened the compliance function by enhancing data and analysis.

Prior to joining Wells Fargo in 2012, Yvette was the Managing Director and Global Head of Operations Compliance, Financial Crime Risk Management with Barclays Capital. Previously she headed Citigroup’s Markets and Banking North American Anti-Money Laundering program and directed its Corporate Global AML monitoring, testing, and surveillance activities.

Ready to get started?

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