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FIPCO: Compliance, Risk Management, and Operational Efficiency Services

FIPCO helps financial institutions operate efficiently and profitably through compliant and user-friendly business platforms. Our services include compliance reviews, risk management, operational efficiency reviews, strategic planning, vendor management, and more.

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FIPCO: Compliance, Risk Management, and Operational Efficiency Services

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  1. Jeffery A Schmid, CRCM Director – Compliance and Management Services 608-441-1220 jschmid@fipco.com www.FIPCO.com

  2. FIPCO Promise • FIPCO helps financial institutions operate more efficiently and profitably through the development, marketing and support of compliant and user-friendly business platforms. These products and services, in turn, help our clients provide exceptional service to their own customers, creating trust and confidence. www.FIPCO.com

  3. Introducing www.FIPCO.com

  4. Compliance and RiskManagement • Compliance reviews and internal controls audit • Loans • Deposits • BSA • ACH • Call Reporting • Loan Review • Internal Quality Control • Regulatory filings • Merger and Acquisition due-diligence www.FIPCO.com

  5. Operational and Financial Management • Operational efficiency reviews • Strategic Planning • Core Processing evaluation • Vendor management www.FIPCO.com

  6. Shared Professional Services • BSA and Compliance Officer • Including the 5 pillars of BSA • Credit Analyst • Controller/CFO • Budget preparation • ALCO preparation • Bank specific regulatory training (BSA) www.FIPCO.com

  7. Compliance and Audit • Prepare risk assessments • Assist with Compliance and Audit schedules • Tailored approach to bank risk • Provide management and Board reporting • Assist with policies and procedures • Provide exception tracking tools • Assist with regulatory exams • Perform one-off reviews (i.e. marketing, disclosures, etc.) www.FIPCO.com

  8. Loan Review and IQC Reviews • Based on sampling and Loan Policy • Meets Secondary Market QC standards • Reports to the Board of Directors www.FIPCO.com

  9. Operational Efficiency Reviews • Assess Return on Investment on software and applications • Conduct time studies on operational procedures • Evaluate existing process and programs • Implement best practices in the industry • Train management and staff on Continuous Improvement and LEAN Principals www.FIPCO.com

  10. Strategic Planning • Perform SWOT, PRIMO-F and PESTLE analysis • Develop tactical plans • Report to the Board of Directors www.FIPCO.com

  11. Vendor Management • Perform initial and annual vendor risk assessment • Review vendor contracts, financials and insurance • Prepare enterprise risk assessment of Vendor Management www.FIPCO.com

  12. Value-addedServices of ShareFI • Engage • Assess • Review • Report • Train • Develop • Support www.FIPCO.com

  13. ShareFI Team of Bank Professionals • Over 30 years of bank compliance and operations. • Certified in regulatory compliance. • Well versed in all positions of banking. • Experienced with examination procedures of FDIC, FRB, and OCC. • Experienced in governmental advocacy. www.FIPCO.com

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