The Compliance Checklist for Bank-Fintech Partnerships and BaaS Providers

The Compliance Checklist for Bank-Fintech Partnerships and BaaS Providers

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Whether you’re a bank, fintech, or BaaS provider, this compliance checklist outlines specific areas of consideration for regulatory compliance and mitigating risk.

Third-Party Risk Management Process


Organizations should consider implementing the following when building out a third-party risk management process.

Due Diligence 


Organizations should consider the following when carrying out due diligence activities.

Compliance Management System


Organizations should ensure the following when building out a robust compliance management system.

Documentation and Reporting


Organizations should have the following documentation and reports available for regulators.

Make Compliance Your Competitive Advantage

Whether you’re a bank, fintech, or BaaS provider, prioritizing compliance oversight is critical to managing risk with third-party relationships and for gaining a competitive advantage.

PerformLine’s omni-channel compliance monitoring solution provides

  • Comprehensive coverage of your organization and your partners across marketing channels, including the web, calls, messages, emails, documents, and social media
  • An adaptable compliance program that matches your risk threshold as you bring on new partners
  • Scalability as your partner program grows, allowing your organization to bring on more partners faster while ensuring compliance

Check compliance off your list

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