Bates Group provides BSA/AML/OFAC, financial crimes, and related compliance advisory services to banks, fintechs, money services businesses, non-bank financial institutions, and digital asset companies. We help clients build, enhance, test, and operationalize compliance programs in response to real business and regulatory needs, including startup buildouts, remediation of identified gaps, bank-partner readiness, regulatory examinations, staffing constraints, systems and control enhancements, and expansion into new products, services, or jurisdictions.
Our team supports both strategic and execution-heavy engagements, including independent reviews, risk assessments, KYC and sanctions control design, transaction monitoring optimization, licensing support, regulatory response, and outsourced or interim compliance leadership. Clients engage Bates when they need practical expertise that aligns regulatory expectations with day-to-day operational realities.
Our Services
- BSA/AML/OFAC Compliance Program Development and Enhancement
- Enterprise and AML Risk Assessments
- Policies, Procedures, and Governance Framework Design
- Independent BSA/AML Reviews and Compliance Testing
- KYC, CIP, CDD, EDD, and Beneficial Ownership Program Support
- Customer Risk Scoring Model Design, Testing, Tuning, and Implementation
- Transaction Monitoring and Sanctions Screening Optimization
- Alert Backlog Clearance, Lookbacks, Investigations, and SAR Support
- Technology and Systems Reviews
- Regulatory Exam, Inquiry, and Remediation Support
- Outsourced and Interim Compliance Officer Support
- State Licensing Acquisition, Maintenance, and Renewal
- Bank Account Facilitation and Partner-Bank Readiness
- Consumer Compliance Protection
- Compliance and AML Support for Banks
- Team and Management Training
- Regulatory remediation
- CMS independent reviews
- CMS and consumer compliance support
