Regulatory Compliance

Review. Regulate. Repeat.

Regulations can be so irregular. It’s hard to keep on the pulse of what’s changing when said changes come at such a rapid-fire pace. That’s why you need a partner on your side that specializes in just that. Subject-matter expertise at training your team in regulatory updates and monitoring its compliance.

We know what regulatory agencies are seeking—that’s why we configure our compliance reviews to mimic what you’ll experience in a real-life scenario. Our procedures are based on field-tested interagency exams. We pass these best practices on to your staff—and we don’t set it and forget it. Regulations are constantly changing—we keep you on top of them.

We take pride in the role we play for community banks across the country—that’s why we offer:

  • Intensive personnel training
  • Customized, one-to-one services
  • Ad-hoc phone consultations
  • Mock regulatory exams

How else can you help us stay compliant?

Our offerings in regulatory compliance don’t begin and end with training for examinations. We offer advisory recommendations about program effectiveness across your operations, including:

  • Annual ACH reviews
  • BSA/AML transactional testing
  • BSA/AML model validation
  • Risk assessments and profiling
  • Fair lending audits
  • Marijuana-related business compliance


The FBLG experience is unmatched—here’s why:

  • Specialized expertise in the banking and finance industry
  • 20+ years average experience among shareholders
  • Ongoing, one-to-one engagement
  • Consistency and accountability
  • No hidden charges—just sensible financial advice

Next Steps

Our subject-matter expert Fran Sponsler is ready to talk audit services with you.

Audit Services

Support for audits designed exclusively for FIs—from directors’ exams to M&A


Tax Services

Investigation of your tax offerings—form regulatory compliance to planning to maximize savings


IT Risk Management

Profiling your level of IT and security service—from vulnerability assessments to cybersecurity


Compensation Survey

Inspect what we compiled from community banks across the nation—and how your compensation stacks up


Fran V. Sponsler, CRCM, CAMS

Phone: 303.382.5220