A 72-page guide for CCOs, BSA/AML officers, and compliance leaders at fintechs, banks, MSBs, and the firms that serve them.
Assess your current program, define meaningful human oversight, strengthen vendor due diligence, and organize the controls and evidence that support a working governance program.
12 chapters covering governance, oversight, controls, and evidence.
A 20-question self-assessment and five-stage maturity model.
A first-90-days implementation roadmap.
Eight worksheets and templates within the PDF.
The Policy-to-Proof cycle for connecting policy to operational evidence.
By Dianne Morin · Compliance Perspective
PDF ebook · 72 pages
For educational and informational purposes only. Not legal, tax, investment, or other professional advice.
A 72-page guide for CCOs, BSA/AML officers, and compliance leaders at fintechs, banks, MSBs, and the firms that serve them.
Assess your current program, define meaningful human oversight, strengthen vendor due diligence, and organize the controls and evidence that support a working governance program.
12 chapters covering governance, oversight, controls, and evidence.
A 20-question self-assessment and five-stage maturity model.
A first-90-days implementation roadmap.
Eight worksheets and templates within the PDF.
The Policy-to-Proof cycle for connecting policy to operational evidence.
By Dianne Morin · Compliance Perspective
PDF ebook · 72 pages
For educational and informational purposes only. Not legal, tax, investment, or other professional advice.
