Compliance Audit and Review Services

Our Services

Why Outsource for Compliance Audits and Reviews

A credit union compliance audit is an independent evaluation of how well a credit union is following audit requirement external and internal laws, regulations and policies. An audit reviews various processes to identify noncompliance risks and recommend improvements to prevent future deficiencies.


It is essential to maintain compliance to avoid penalties, sanctions and fees. Credit unions can be penalized and fined whether or not they know of their deficiencies. Both non-compliance discovered by third parties and released in self-reporting can result in significant penalties, so it is essential for credit unions to invest in compliance efforts that contain audit services and manage their risk.


With relevant auditing and quick responses to recommendations, credit unions can enjoy comprehensive compliance and peace of mind. A compliance audit can also enable credit unions to keep up with ever-changing regulations. Learn more about how Comply-YES! can help your credit union with your compliance needs.

Speak With A Compliance Expert Today!
compliance audit micrographic

Our Compliance Auditing Services

Comply-YES! understands the complexities of credit union compliance, which is why we offer a variety of expert auditing and review services, with bundle pricing starting as low as $9,500 and stand alone audits starting as low as $1,750.

Bank Secrecy Act Audit

The Bank Secrecy Act requires financial institutions to assist U.S. government agencies in detecting and preventing money laundering. Our auditing services will help ensure you meet requirements, such as having a compliant BSA/AML program, adequate records of cash purchases of negotiable instruments, filing reports of cash transactions over $10,000, and reporting suspicious activity that might suggest criminal activity.

Compliance Management System Audit

A comprehensive compliance management system (CMS) will enable your credit union to manage risks and ensure member protection. We’ll audit your CMS and perform a risk assessment to identify any deficiencies and suggest improvements so you can enjoy insights into your system and ongoing compliance. 

Deposit Compliance Audit

From reviewing member statements, to new accounts, to remote deposit capture, our deposit compliance audit can help you align with regulations and enhance member satisfaction and protection. Comply-YES! will audit every aspect of your account management and deposit processes to ensure compliance.

Lending Compliance Audit

Our lending compliance audit will determine if your lending policies, procedures and documentation align with federal regulations. We’ll analyze transactions, determine if requirements were followed, review credit files, ensure proper notices were sent to applicants and more.

Marketing Website Compliance Review

Regulatory landscapes can be complex, so we’ll help you navigate them to ensure compliance with your marketing efforts. Our review will look at marketing materials, digital platforms and content to see if they follow regulatory requirements, guidelines, and your branding policies so you can launch campaigns on time and in compliance.

Functional, Alignment and Resource Allocation Review

Our review process will assist you in determining if your assets are assigned in effective ways that support your goals and align with your vision. Our review process will consider tangible and intangible resource allocation to determine the best techniques to improve your functionality and goal alignment.

Contact Us for Credit Union Consulting Services

Comply-YES! is here to help you navigate the complexities of compliance and audit requirements so you can focus more on serving your members. Contact our team today to learn how our auditing services can give you a vacation from your compliance worries!