They walked into our OCC examination with a complete evidentiary package — remediation timelines, policy attestations, and a written response to every finding from the prior cycle. The examiner closed three MRAs on the first day.
Every document
already tabbed,
indexed, and flagged.
Anti-Money Laundering programs that hold under examination.
"We had eleven open BSA findings from the prior examination cycle. ComplianceSteel closed nine of them before the examiners arrived. The remaining two were downgraded to observations."
— BSA Officer — Community Bank, $1.8B AUM · OCC Supervised"The material weakness disclosure was already drafted. ComplianceSteel rewrote the remediation narrative, documented three new compensating controls, and had everything to our external auditors by Thursday. We filed clean."
— General Counsel — Insurance Carrier, NYSE-ListedSection 404 narratives written for auditors, not accountants.
When your external auditor flags a material weakness three weeks before the 10-K filing, you need a remediation narrative that satisfies PCAOB standards and tells a coherent story to your audit committee.
- Internal control over financial reporting (ICFR) documentation rebuild
- Control deficiency root cause analysis and remediation roadmap
- Management assessment narrative drafted to PCAOB AS 2201 standard
- Audit committee presentation materials and board-level summary
- Coordination with external auditors to align on remediation evidence
Privacy frameworks that survive regulatory inquiry and plaintiff discovery.
"We were scaling into six new states simultaneously. ComplianceSteel mapped our data flows, identified three vendors with non-compliant DPAs, and delivered a state-by-state compliance matrix before our product launch."
— COO — Consumer Fintech, Series C · 1.2M Active Users"We needed Money Transmitter Licenses in eleven states before our Series B close. ComplianceSteel filed eight applications in the first week, managed all examiner correspondence, and had seven approvals before our funding round."
— CFO — Payments Infrastructure Company, Series BLicense portfolios built for the markets you're entering tomorrow.
Multi-state licensing is a sequencing problem. The wrong order costs 90 days and a product delay. We map the dependency chain, draft the application packages, and manage examiner correspondence so your legal team focuses on deals.
- Money Transmitter License (MTL) application strategy and drafting
- Consumer lending license matrix and priority sequencing
- Surety bond procurement coordination across 50-state portfolio
- Registered agent and resident director placement
- Regulatory change monitoring and license renewal calendar management
The first conversation
costs you nothing.
The next examination might.
A 30-minute call. No retainer required. We will tell you exactly where your program stands relative to current examination priorities — and what it would take to close the gaps.
Attorney-Client Privilege Available. Engagements can be structured under counsel to protect communications from regulatory discovery. Ask about our privileged assessment structure.
Regulatory Readiness
Checklist — 2026 Edition
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