Compliance Office Hours
Got compliance questions? Book time with our experts in financial compliance and regulations.
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 – that’s why we offer Compliance Office Hours.
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.
15 Minute
Slots
Every
2 Weeks
Compliance
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)
- 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.
Companies we've advised:
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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.
Karin Lockovitch
Regulatory Advisor
Previously Bank of the West, Zions Bancorporate, SunTrust, and American Express
With more than 20 years of broad experience in the design, implementation, and oversight of risk and compliance programs in roles such as Chief Compliance Officer, Chief Risk Officer and Credit Officer at companies such as Bank of the West/BNP Paribas, Zions Bancorporation, SunTrust, and American Express, Karin has had the unique opportunity to see the evolution of risk management integration and engagement models, and the risk practices across an array of financial service organizations with varied products and services, ownership and legal entity structures, customer demographics and risk profiles, geographic footprints, acquisition channel strategies, regulatory oversight constructs, organizational risk tolerances, and risk culture and program maturities.
Karin has worked in investment, retail, and commercial banks, in foreign-owned, publicly held and holding company bank structures. She has been part of creating new bank charters, has worked with Fintech organizations on the design of their risk management programs, and led the design of effective bank and Fintech partnership models. She has also worked closely with all federal regulatory bodies, State AG’s, and European regulators and global and European oversight boards, and has a strong track record for cultivating and maintaining positive, productive and collaborative relationships with regulators.
Ready to get started?
Request a demo or get in touch to learn more about how we can help you fight financial crime.