ProBank Austin will evaluate the adequacy of the Bank’s established compliance management program and its ability to ensure technical performance with regulatory compliance matters. At the conclusion of the audit, ProBank Austin will be positioned to provide management with an objective assessment of compliance administration, to identify procedural weaknesses, and to direct attention toward areas posing the greatest risk of regulatory criticism or consumer litigation.

Our professionals examine transactions consummated since the institution’s most recent compliance examination. They employ a judgmental sampling process that involves randomly selecting individual files, verifying calculations for those transactions, and reviewing forms for accuracy and timeliness. If we identify a significant number of compliance deficiencies, we may recommend expanding the sample to determine the magnitude of violations.

Following a risk-based approach, we determine the scope and sample size based on several criteria including:

During this audit, our professional will monitor the following laws and/or regulations, as applicable:

ProBank Austin will provide a written statement regarding the adequacy of the overall compliance management program. Furthermore, we will assign grading for each law and/or regulation in the report based on the criticality of the compliance deficiency identified.

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