Governance, Risk, and Controls

We provide additional services including general consulting, system validations, control testing, and various operational or technology risk assessments. Our information technology assurance services are geared to identify and assess risks to the confidentiality, integrity, and availability of information assets.  We take governance and oversight, internal processes and controls and operating environment into consideration. These services may be provided as part of an internal audit of information technology controls or as individual projects.  These services may be necessary as a result of major organizational changes, implementation of new technologies or reliance on third-party service providers.

Business Impact Analysis & Continuity Planning

We can provide full Business Continuity planning and management services in order to provide a documented, tested, and fully executable plan that meets the expectations of management or regulatory requirements. With management’s assistance and information we will perform the necessary steps to assure that system and information recovery objectives are met.

Proline Consulting Group can perform a Business Impact Analysis identifying information assets by function or department, identifying criticality and recovery requirements for each.   Through discussions with management and assessment of the organization’s technology infrastructure and current recovery options we will assess whether the current environment is suitable for meeting recovery objectives. If necessary, we will provide recommendations and assist with implementation of either backup or disaster recovery solutions and we can also perform user acceptance testing.

If requested, Proline Consulting Group can provide local or cloud based backup or real time recovery strategies to meet most recovery objectives.

Bank Secrecy Act / Anti-Money Laundering

Banks and financial institutions are required to comply with Bank Secrecy Act and Anti Money Laundering (“BSA/AML”) regulations as part of internal compliance programs.  Compliance with BSA/AML regulations requires institutions to meet the “five pillars” including capable officers, internal controls, adequate training, an independent audit, and recently enhanced customer due diligence programs.

Proline Consulting Group has been engaged to perform the independent audit of several Bank’s BSA/AML compliance programs in accordance with Section 352 of the USA PATRIOT Act.  Our procedures are performed in accordance with the Federal Financial Institutions Examination Council (FFIEC) Bank Secrecy Act (BSA) /Anti-Money Laundering (AML) Examination Manual that was most recently issued in December 2014.

Proline Consulting Group has worked with Banks supervised by the Office of the Comptroller of the Currency (“OCC”), Federal Deposit Insurance Corporation (“FDIC”), and Federal Reserve oversight offices in Atlanta and New York.  Internationally, Proline Consulting Group has also worked with Financial Institutions in Puerto Rico who are overseen by the Oficina del Comisionado de Instituciones Financieras (“OCIF”).