Compliance Services

Dixon, Davis, Bagent & Company can assist your financial institution with the development and maintenance of an effective ongoing regulatory compliance program.

Our professionals are available to monitor the compliance effort on behalf of the management and the board of directors on a quarterly or semi-annual basis, or to perform ongoing compliance review services on an outsourced basis monthly.

We can assist your organization in the development of a compliance program, formation of a compliance counsel, training of a compliance officer, addressing specific regulatory examination recommendations, and all of your institution's compliance needs

Our on-site compliance review program includes the following:

  • We review internal controls and procedures to determine they are adequate to effectively monitor for compliance with policies, laws and regulations.
  • We review the compliance training efforts and schedules to ensure mandatory training is being performed, and adequately documented.
  • We will make recommendations relative to the institution's compliance review policies and procedures.
  • We will recommend a list of materials, publications, or programs to enhance the institution's compliance library.
  • We will recommend forms and compliance review checklists for use by the compliance officer in performing compliance audit procedures.
  • We will assist the compliance officer with determining an appropriate internal training schedule for the staff.
  • We will provide telephone assistance to your staff relative to day-to-day situations and regulatory questions that may arise between our quarterly visits.