Compliance Plans Built
for Regulated Businesses
Three plans. Fixed pricing. Annual training, risk assessments, policy documentation, and audit-ready reports — delivered through one platform. Subscribe online today. No sales calls required.
BSA/AML Compliance Programs
We design, implement, and maintain comprehensive Bank Secrecy Act and Anti-Money Laundering compliance programs tailored to your specific business model. From initial gap assessments to full program implementation, our frameworks are built to satisfy examiners while protecting your business from real financial crime threats.
What's Included
- Custom-built BSA/AML program documentation
- Suspicious Activity Report (SAR) procedures
- Currency Transaction Report (CTR) processes
- OFAC screening and compliance controls
- Ongoing program monitoring and updates
Real-World Outcome
Clients consistently pass regulatory examinations and reduce financial crime exposure by implementing our structured, examiner-tested frameworks.
BSA/AML Compliance Programs
Specialized for the nation's most scrutinized financial industries real estate, fintech, mortgage, and money services businesses.
Customer Due Diligence (CDD) Training
Our CDD training programs go far beyond theory. Using real-world transaction scenarios from high-risk markets luxury real estate deals, cross-border remittances, and digital payments we teach your team to identify, assess, and document customer risk with confidence and consistency.
What's Included
- Know Your Customer (KYC) process training
- Beneficial ownership identification
- Enhanced Due Diligence (EDD) for high-risk clients
- Red flag recognition workshops
- Customized training for your specific industry
Real-World Outcome
Teams trained by Soflo demonstrate measurable improvements in CDD documentation quality and suspicious activity identification within 90 days.
Customer Due Diligence (CDD) Training
Specialized for the nation's most scrutinized financial industries real estate, fintech, mortgage, and money services businesses.
Risk Assessments
Understanding your risk profile is the foundation of effective compliance. Our comprehensive risk assessments evaluate your customer base, geographic exposure, products, services, and transaction channels against current regulatory expectations delivering a clear roadmap for prioritization and improvement.
What's Included
- Comprehensive institutional risk scoring
- Customer risk rating methodology
- Geographic and product risk analysis
- Gap identification and remediation roadmap
- Examiner-ready risk assessment documentation
Real-World Outcome
Clients receive a clear, actionable risk picture they can defend to regulators and use to allocate compliance resources with precision.
Risk Assessments
Specialized for the nation's most scrutinized financial industries real estate, fintech, mortgage, and money services businesses.
Regulatory Examination Support
When regulators schedule an examination, preparation is everything. Our Regulatory Examination Support service gives your organization a systematic, examiner-tested readiness process reviewing your existing program against current regulatory expectations, identifying gaps before examiners do, and ensuring your documentation is organized, complete, and defensible from day one. We've guided clients through hundreds of federal and state examinations and know exactly what examiners look for.
What's Included
- Pre-examination BSA/AML program gap analysis
- Examiner-ready documentation review and organization
- Program self-assessment against current FinCEN guidance
- Staff briefing and examination logistics preparation
- Post-examination remediation and regulatory response support
Real-World Outcome
Soflo clients enter examinations prepared and confident. With a 98% first-review pass rate, our examination support process is the most reliable way to protect your institution from findings, citations, and formal enforcement action.
Regulatory Examination Support
Specialized for the nation's most scrutinized financial industries real estate, fintech, mortgage, and money services businesses.
Policy & Procedure Development
Outdated or generic policies are a liability, not a protection. We create custom policy and procedure documentation that reflects your actual business operations, current regulatory requirements, and examiner expectations written in clear, operational language your team can follow.
What's Included
- BSA/AML program policy manuals
- Standard operating procedures (SOPs)
- Annual policy review and updates
- FinCEN regulatory update integration
- Board and management reporting templates
Real-World Outcome
Organizations with Soflo-developed policies experience faster onboarding, cleaner audits, and greater team consistency in compliance execution.
Policy & Procedure Development
Specialized for the nation's most scrutinized financial industries real estate, fintech, mortgage, and money services businesses.
Every Service Tailored to Your Industry
Our services are not one-size-fits-all. Every engagement is designed around your specific industry, transaction profile, and regulatory environment.
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