James Currie

Currie Compliance Advisement

As a former BSA Officer, I know that financial institution compliance departments are under great pressure to keep costs down and run the day to day as tightly as possible. There is no excess capacity to take on special projects or to address problems or concerns. Even minor problems can be disruptive to the daily functioning of the department and stressful for the staff involved. Compliance programs get tweaked here and there, but sometimes projects are deprioritized and pushed to the back burner. I also know that when it comes time to address a problem head on, not all problems require a Big 4 consulting project team to remediate the issues.

I can provide the independent support you need to tackle those projects. With 20 years in bank compliance, the last 12 years in the financial crime compliance space, I am a specialist on the governance side of BSA/AML, sanctions, and anti-corruption compliance, focusing on Risk Assessment, Policies & Procedures, Program Reviews and Compliance Testing.

Policies & Procedures

Draw on my years of experience as a BSA officer for your governing documents.

Risk Assessment

Identifying factors, validating data and implementing plans to remediate gaps.

Program Review

The independence of the program review is crucial to the success of the process.

Training

Financial institutions must ensure seamless transitions from old procedures to new.

Compliance Testing

Identifying attributes to test, analyzation of data and action recommendations.

Data Quality Review

There are many ways an institution’s core data can end up less than ideal. I can help.