RCM

Regulatory Compliance Manager

A Subscription-based Compliance Support Service Offering Priority Response, Expert Advice

Regulatory Compliance Manager, a subscription-based service, provides compliance support services and resources to help you face your compliance challenges head-on and manage your CMS effectively.

Ongoing support is key to an effective compliance management system.

TCA’s Regulatory Compliance Manager (RCM), a subscription-based service, provides such support, keeping you informed about regulatory changes and prepared to meet your compliance challenges head‐on.

TCA’s helpline gives you thoughtful advice quickly—within 24 hours—on all your compliance questions.

We also check in with you to see whether you need clarification on regulatory initiatives, help with implementing TCA-recommended changes, or have compliance issues you want to discuss.

TCA’s in-depth newsletters and webinars keep you and your team informed about new and evolving laws and regulations and precisely how they affect your bank.

You can rely on RCM for skilled, tailored compliance advice to give you confidence that your CMS is on track and that you’re making smart decisions.

Key Deliverables Include:

  • Priority response—within 24 hours— to compliance questions requiring less than 1 hour of research. A separate proposal will be sent for complex inquiries, disclosure validations, or policy reviews
  • Review of advertisements to ensure they comply with applicable rules and regulations
  • Access to TCA’s newsletters:
    • Compliance IQ electronic newsletter provides our analysis of the latest compliance information, including examination procedures, new compliance processes, and insight on simplifying your compliance management.
    • Special Release delivers breaking compliance news and updates.
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Interested in subscribing to RCM?

Please send an email to [email protected] or call 800-934-REGS for more information.

Compliance Insights

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Regulatory Updates – Third Quarter 2024

By | October 2, 2024

Below is a link to the Regulatory Updates as of the end of Q3 2024. TCA provides A Better Way for you to track Compliance updates and keep your organization on track. TCA – A Better Way!

Back to School

Back to School: Ready for Regulators’ Pop Quizzes?

By | August 28, 2024

With the summer winding down, the kids will be heading back to school and facing tests and the dreaded pop quizzes. But they are not the only ones. Compliance pros also must be ready for regulators’ tough questions. If your regulator were to give you a pop quiz, would you be ready? See if you […]

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Regulatory Updates – Second Quarter 2024

By | July 2, 2024

Below is a link to the Regulatory Updates as of the end of Q2 2024. TCA provides A Better Way for you to track Compliance updates and keep your organization on track. TCA – A Better Way!

aml

AML Programs and Recent Consent Orders: What Questions Should you be Asking?

By | June 27, 2024

Last year’s news headlines screamed about financial crimes: the riveting cryptocurrency saga of Sam Bankman-Fried (SBF), Binance’s landmark $4.3 billion settlement with the Department of Treasury, and Deutsche Bank’s additional fines for anti-money laundering and sanctions failings. Other noteworthy stories entailed a parade of cybercrimes like ransomware and email scams. For those working in the […]

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Planning for a Successful Automated Monitoring System (AMS) Validation by Understanding Common Findings

By | May 24, 2024

Your AMS plays a crucial role in helping financial institutions detect and prevent illicit activities. However, to ensure the effectiveness and compliance of these solutions, regular model validations are necessary and prescribed by Guidance on Model Risk Management from the prudential regulators. During validations, common findings often emerge and highlight opportunities for improvement. Here, TCA […]

sar investigations and aml

Your Dream AML/CFT Home Starts with Good Bones

By | April 29, 2024

Build A Solid Foundation That Will Help You Detect and Combat Financial Crimes Prospective homebuyers want properties with “good bones,” whether buying new construction loaded with smart technology or a 200-year-old historic farmhouse that needs tender loving care. Good bones assure buyers that a property is structurally sound, provides a safe environment, and will be […]

Do You Need Compliance Help?

We’re here to review your current compliance strategy and help you find A Better Way to manage risk.

Phone

800-934-REGS

Email for Non-Confidential Information Only

[email protected]

Office Location

2021 Midwest Road, Suite 200,
Oak Brook, IL 60523

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