Compliance Monitoring

Compliance monitoring is the continued self-assessment and adherence to policies, procedures, and processes within the compliance program. Due to increased regulatory scrutiny this role is expanding throughout the financial institution industry. Specifically, compliance monitoring is a designated role to review, sample, and identify control issues within a compliance program. The value of the role is […]

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About Frank Masi, Ph.D.

Frank Masi, Ph.D. has over 25 years of business and technical experience and holds a doctorate in business and organizational management from Capella University. Over the last 10 plus years, Dr. Masi has worked in the BSA, AML, and OFAC regulatory environment and has consulted in the in the financial industry providing institutions with enterprise level regulatory software solutions and consulting services in BSA, AML, KYC, P.A.T.R.I.O.T. Act, and OFAC.Follow Frank on LinkedIn: