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Gap Analysis

Our experts will evaluate whether your BSA/AML/OFAC program is adequately designed for maximum effectiveness. This will eliminate inefficiencies, streamline compliance processes and simplify communication.

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Areas of Your Program That We Will Evaluate:

  • Risk Assessment
  • Policies and Procedures
  • Training and Communications
  • Confidential Reporting Structure and Investigation Process
  • Third-Party Management
  • Mergers and Acquisitions

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Main Objective of Gap Analysis

The main objective of a Gap Analysis is to answer the following:

  • Is the compliance program being implemented effectively?

  • Does the compliance program work in practice?

Upon completion of a successful Gap Analysis, Capital Compliance Experts will provide a written report that will include an executive summary identifying unmitigated and/or high-risk items and recommendations.

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