Fintech & Regtech

FinTech’s Can Rely on ProBank.

Today’s financial services industry continues to evolve as new software and innovative technologies converge to improve client interaction and their use of financial systems. ProBank has been educating, consulting, auditing, and advising FinTech’s since 2013 and have developed relationships with a wide variety of lenders and their partnering financial institutions.

ProBank’s professionals possess the hands-on expertise required to navigate the industry’s ever-changing compliance rules and regulations to satisfy FinTech partners, investors, and regulatory agencies.

ProBank’s FinTech services include: Policy and Procedures, Lending, Credit Operations, Servicing, Compliance Management System (CMS), Bank Secrecy Act/Anti-Money Laundering (BSA/AML), Fair Lending and Information Technology (IT).  Our reviews cover both commercial and consumer products. ProBank welcomes an opportunity to assist your institution.

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Upon engagement, ProBank will:

  • Work with your team to develop the Compliance Management Program policies necessary to partner with a federally regulated institution.
  • Provide audit and review services to promote and validate effective compliance controls and monitoring for your lending platform.
  • Meet or exceed your expectations, as well as those of your partnering bank, with regards to documenting an appropriate Compliance Management Program (CMP), corrective action taken on identified issues, and validation such action is sustained over time.
  • Establish a cooperative, mutually beneficial relationship.

The Specifics:

Please click here to obtain an Executive Summary of our approach. This document outlines in detail the phases and provides an overview of our services designed specifically for online lenders.

  • Compliance Management Program (CMP) Policies Review – Completed prior to going live
    Information Technology and Information Security Policies and Program, Business Continuity Plan, Audit, Vulnerability Testing, and Social Engineering – Work begins prior to going live and continues throughout relationship.
  • Lending Review (Transactional Testing) for Compliance with Applicable Lending Rules and Regulations – Normally conducted within 60 days of going live; may be accelerated or delayed based on volume.
  • Bank Secrecy Act/Anti-Money Laundering (BSA/AML) Independent Review – Normally conducted concurrent with transactional testing.
  • Annual Review – This review combines all the necessary components listed above at the one-year point.
  • Fair Lending/Non-Discrimination Analysis.

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