Compliance Checklist

The Compliance Checklist for Bank-Fintech Partnerships and BaaS Providers

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

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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

Connect with PerformLine and see what we can do for you.