Compliance audits for
financial services

Make sure your financial institution is in compliance.

We can help ensure you are in compliance with banking regulations.

Take advantage of the AGH financial services industry team's exposure to a broad variety of financial services and other organizational environments. Our experience can provide industry-wide knowledge and best practices to ensure you are in compliance.

See how our compliance audit could help your organization.
Contact us to learn more.

Internal control and compliance audits for financial services industry

Consider who benefits

Banks

Other regulated financial institutions

Consider the benefits

Access to an audit team with more experience and additional specializations than most organizations generally can afford on staff full-time

Build, support and monitor risk management within an organization

Increase effectiveness of governance

Meet regulatory requirements

Serve as an early-warning system for financials or regulatory compliance going awry

Provide assurance to external stakeholders

How AGH's internal control and compliance audits for financial services industry can help your organization

An AGH audit team examines specified areas of a financial institution's operations to determine if it is complying with the regulatory requirements of various laws and agencies, for example, the Bank Secrecy Act (BSA), Anti-Money Laundering (AML), Office of Foreign Assets Control (OFAC), Home Mortgage Disclosure (HMDA), TILA-RESPA Integrated Disclosures (TRID), and Vendor Management.

Audit teams review documents such as Suspicious Activity Reports, Currency Transaction Reports, board minutes and policies related to compliance, customer complaints, types of products and services offered, the bank's locations and markets, and the overall compliance management program. An audit report and any recommendations are issued.

Gain more transparency into your compliance status. Click to get started.

Mark Schmelzle

Senior Vice President , Assurance Services

Mark Schmelzle leads the firm’s financial services industry team and is a member of the manufacturing and private equity teams. His practice focuses primarily on financial institutions, manufacturing/wholesale/distribution entities and private equity groups.

In the financial services and manufacturing industries, his experience includes financial statement audits, fraud investigations and other types of attest services.

In the private equity area, Mark provides a wide range of merger and acquisition services for private equity groups and their portfolio companies, including due diligence, cash flow analysis, quality of earnings review, and potential cost-savings analysis.

Schmelzle is a certified public accountant and a member of the American Institute of Certified Public Accountants, the Kansas Society of Certified Public Accountants and Young Bank Officers of Kansas. He is an alumnus of Leadership Wichita and was named one of the Wichita Business Journal’s “40 Under 40” young leaders in the community. He also serves in leadership positions for community organizations including Youth Entrepreneurs and the Wichita Aero Club.