Independent BSA/AML Reviews and Compliance Testing

Who We Help

We help banks, fintechs, money services businesses, and other regulated or bank-partnered financial services companies strengthen their compliance programs through independent reviews. 

What We Do

We perform independent BSA/AML and compliance testing that evaluates the design and effectiveness of governance, customer due diligence, suspicious activity monitoring, sanctions compliance, training, and reporting controls. 

When Do Clients Call Bates Group

Clients call Bates Group when they need an objective review of their compliance program, preparation for regulatory exams, or validation that key controls are working effectively. 

How Clients Use Bates Group

Clients use Bates Group to identify control weaknesses, strengthen compliance frameworks, and implement practical improvements based on independent findings.

Our Approach

Our approach delivers objective, actionable insights that help institutions improve control environments while aligning with regulatory expectations. 

Bates Group provides practical compliance advisory support tailored to the institution’s risk profile, business model, and stage of growth. Our team works with banks, fintechs, money services businesses, non-bank financial institutions, and digital asset companies on both strategic and execution-focused engagements.