Compliance Program Management Services
InnReg manages the recurring work required to operate and maintain your compliance program. We support reviews, monitoring, filings, policy updates, and issue resolution, coordinating with your management team and designated compliance personnel around the firm’s activities and obligations.
Since 2013
100+ fintechs supported
SOC 2® Type 2 Report
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The Basics
When Your Compliance Program Needs Ongoing Operational Support
Compliance program management supports firms that need a team to carry out recurring compliance activities and respond to issues as the business operates. The engagement can support an internal compliance function or provide a broader outsourced team, with responsibilities defined around existing personnel, business volume, systems, and regulatory requirements.
Moving from registration or program development into recurring compliance operations
Adding capacity for reviews, monitoring, filings, and other scheduled obligations
Coordinating compliance work across growing teams, products, or jurisdictions
Maintaining a consistent process for issues, regulatory requests, and program updates
The Basics
What InnReg Manages
We define the ongoing work around your firm’s regulatory status, approved activities, policies, systems, and allocation of responsibilities. The scope specifies which activities InnReg performs, which require client or designated-officer approval, and how exceptions are escalated. Depending on the agreed engagement, management can include:
Program Administration and Maintenance
We manage the compliance calendar, maintain policies and procedures, update risk assessments, and monitor relevant regulatory developments. We coordinate scheduled reviews and reporting, track business changes, and identify when an existing process or responsibility needs to be updated.
Recurring Reviews and Monitoring
We perform agreed compliance reviews across areas such as marketing, employee activities, customer onboarding, advisory operations, lending, or transaction workflows. Routine monitoring and testing can be included, with review records, exceptions, and approvals handled according to the applicable procedures and supervisory assignments.
Filings and Regulatory Coordination
We prepare and coordinate agreed recurring filings, amendments, renewals, and disclosure updates. We also support regulatory inquiries and examinations by organizing requests, gathering records, and preparing responses with the responsible personnel. New license applications and material approval projects are scoped separately.
Issue Management and Operational Support
We track compliance issues, escalate significant findings, and support remediation through documented action items. The scope can also cover complaints, vendor oversight, applicable financial-crime controls, privacy, business continuity, and compliance review of product or operational changes.
Ongoing work can produce completed review records, filing and renewal records, updated policies, issue logs, management reporting, and an actively maintained compliance calendar. Coverage, frequency, approval authority, and client inputs are established in the engagement.
Our Scope
How the Engagement Works
01
Establish Coverage and Responsibilities
We review the existing program, recurring obligations, personnel, systems, and open issues. We agree the activities InnReg will perform, required access, approval responsibilities, and escalation process.
02
Organize the Ongoing Work
We establish the working calendar, review queues, request process, and meeting cadence. We coordinate the transfer of relevant records and identify urgent deadlines or dependencies.
03
Perform and Document Activities
We carry out the agreed reviews, monitoring, filings, and maintenance work, retain supporting records, and escalate exceptions to the people responsible for decisions or approvals.
04
Review Issues and Adjust Priorities
We review open items and program developments with your team, track remediation, and update priorities. Material changes in activities or workload are assessed for any necessary scope adjustment.
Our Team
Meet the Team Supporting Compliance Program Management
Why InnReg
Why Work With InnReg on Compliance Program Management?
Experience With Ongoing Obligations
Since 2013, InnReg has supported financial services firms through launch, growth, regulatory reviews, and operational change. That experience informs how we organize recurring compliance work around the activities and risks of each business.
Execution Within a Defined Scope
Our team performs the compliance activities assigned in the engagement, from reviewing materials and maintaining records to preparing filings and tracking issues. Your team has visibility into the work underway and the inputs it requires.
Coordination With Your Internal Team
We work with management, compliance, operations, product, counsel, and designated supervisors. The allocation of work reflects the people already in place and identifies the decisions or approvals that remain with them.
A Consistent Working Cadence
A dedicated project lead coordinates deadlines, requests, meetings, and open items. Recurring communication gives your team a regular opportunity to review priorities and address dependencies affecting the compliance program.
Attention to Business Changes
New products, partnerships, systems, and customer journeys can affect existing controls. We review relevant changes within the agreed scope and identify program updates, additional analysis, or approvals that may be needed.
Documented Follow Through
We connect identified issues with responsible owners, action items, and supporting records. This helps management understand what has been addressed, what remains open, and which matters need further review or escalation.
FAQ
Compliance Program Management FAQs
How is management different from compliance program development?
Can InnReg work with our internal CCO or compliance team?
Does management include compliance testing and annual reviews?
Can you support examinations and remediation?
Contact Us
Get Support for Your Ongoing Compliance Needs
Keeping your compliance program running takes consistent attention and execution. Submit the form to schedule a free consultation. We’ll discuss your current program, internal resources, and recurring responsibilities to identify where InnReg can support your team.
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