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Customer Spotlight

Deficiencies Discovered, Bank Account Saved

Posted on: January 22nd, 2016 by Julie

CA Loan & Jewelry came to us as a referral from California Financial Service Providers (CFSP). They had just received a letter from their bank and were in danger of losing their bank account.

“We received a letter from our bank that stated they were going to close our account. We contacted the CFSP and they referred us to Capital Compliance Experts.”

After decoding the bank letter, our team went to work for them and preformed a Third Party Independent Review for their current Anti Money Laundering (AML) Program.

“Their team immediately got to work and did an independent review of our AML program. They were fast, accurate and hands-on through the whole process.”

Our CAMS certified representatives discovered a few deficiencies within their AML program and put together a Plan to Address Deficiencies. The team at CA Loan & Jewelry worked hard to correct their errors.

Within 30 days of contacting our team, their account was saved! They have signed up for the Compliance Oversight Program to protect them from receiving another letter from their bank.

“We were so pleased with their work that we signed up for the annual compliance oversight program. Now we have access to the Compliance Management Portal and are sure to be audit ready.”

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About the Author

Julie Sepulveda
Julie Sepulveda
Marketing Coordinator

I have a love for design, organization and family.

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