Annual Compliance Oversight Program

“Capital Compliance Experts’ Annual Review Program allows me to sleep at night. I know my staff is trained, we’re prepared for audits and reviews at any time, and I can always call them whenever I have a question. They keep us up to date on the constantly changing compliance policies and requirements. The price is reasonable and actually saves me money compared to an annual review.”

– Luis Gil, owner, La Fortuna Market, Palo Alto, CA

Services Include:

Ongoing Access to Designated Compliance Consultant(s)

• Assistance with IRS Title 31 audits
• Bank audit support
• Licensing, registration and permit guidance
• General compliance-related questions

Anti-Money Laundering Program

• Maintain an up-to-date BSA/AML/OFAC compliance program
• Be audit ready
• Add, remove or improve your program as your business evolves

Third Party Independent Review

• Annual BSA/AML/OFAC review included
• Identify areas for improvement and prepare a plan for correction
• Additional program testing as needed

Access to our secure online Compliance Management Portal and On POinT Training Center

• Digitize your compliance program
• Access to online training
• Customized auditor access
• Calendar reminders for important dates, license and registration renewals, etc.

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