Who Is Compliance Alliance For?

Committing to budgeting for bank compliance services is only the beginning. We know that applying compliance assets across all functional areas and business lines of a bank requires coordination, training and oversight. That's why our services are geared towards a variety of bank departments. No matter what your role, you'll find that unlimited access to downloadable resources, a hotline staffed with compliance specialists, and unlimited document reviews are a valuable asset to everyone in your bank.

Board of Directors

The Board of Directors will find beneficial information in our monthly “Directors Article” newsletter, which details specific roles and responsibilities for the Directors at the bank, as well as our summaries that describe in layman terms exactly what regulators require from banks. These summaries also detail an action plan that assists in the implementation of these requirements. Our attorneys prepare and update the summaries each time a regulation is changed or updated,as well as when new regulations are issued. 

We also have training tools that are geared specifically toward Boards of Directors. These trainings always include information on the potential repercussions of non-compliance as well as a high level overview of the requirements of regulations. Boards can also access tools about annual reporting requirements, as well as checklists detailing what should be being brought to the Board's attention for review and approval on an annual basis.

Loan Department

Your loan department will find Compliance Alliance resources incredibly valuable. Our resource library includes summaries that not only detail the requirements of new regulations, but also include an “action plan” that details what steps the bank must take to become compliant with the regulatory requirements. We also provide forms, calculators, cheat sheets, check lists, policies, procedures, matrices and worksheets that will take them from start to finish in completing a loan file. We even provide resources for those responsible for the loan review and the allowance analysis.


Your operations area will gain beneficial help through the use of our tools–particularly related to deposit operations, financial reporting responsibilities and human resources. Our tool libraries include policies, procedures, summaries, and checklists. Some examples of valuable operations tools include, but are not limited to, an Investment policy template, an Interest Rate Risk policy template, and a Business Impact analysis.

Customer Service

We also provide tools for customer service areas, such as new accounts, in the way of summaries, cheat sheets, checklists, and more. We include in our libraries an area that houses all of the model forms as well. As a part of your member benefits, if we do not have what you need, we will create those tools for you.

Risk & Audit

Risk and Audit departments will benefit from our service as well. We provide audit worksheets, for both internal control audits and compliance in-house auditing or monitoring, that can be used for monitoring purposes if a bank uses a third party vendor to complete audits. We also provide easy access to risk assessment templates, which walk you step-by-step through the completion of assessing risk in each area of the bank, from specific products to overall compliance management. 

Note: Compliance Alliance does not perform audits. Any audit performed by Compliance Alliance would not be independent based on our tools offerings. Read more about auditing independence.