Compliance

AuditOne provides a full array of Compliance audit services to a broad range of client types, including banks, credit unions, mortgage companies, money service businesses, third party payment processors, security broker/dealers and others.

Through our sister firm, Insight Risk Consulting, we also offer customized monitoring and consulting services to assist management with developing and maintaining a sound compliance control environment, starting with the CMS (Compliance Management System).

AuditOne’s services are tailored to best fit the risk profile of each client, presently comprised of institutions that range in size from de novos all the way to the tens of billions in assets. Our Compliance subject matter professionals conduct more than 100 Compliance audits each year and possess a wide range of skill-sets, expertise and educational backgrounds, having served as regulatory examiners or as managers or executives in community or regional banks. Our expert staff maintain a variety of professional certifications including Certified Regulatory Compliance Manager (CRCM), Certified Internal Auditor (CIA) and other compliance and audit-related designations.

Our audit and consulting approach is designed to be scalable based on the growth and history of each client. AuditOne’s final reports, audit programs and supporting audit workpapers are known for their clarity and completeness and are continuously upgraded to reflect industry and regulatory changes.

Celeste Burton, Compliance Practice Director, with over 25 years of experience in the banking and auditing industries, has been with AuditOne since 2014. Previously she held positions at several California-based financial institutions. Celeste holds a BA in Accounting and Finance from the University of California at Berkeley. She has also attended the American Bankers Association National Compliance School and is a Certified Internal Auditor (CIA).