First Point

You're invited to an interactive roundtable with Chief Compliance Officer and founder, Jamie Uppenberg, designed specifically for fintech leaders navigating growth in today's regulatory climate. Having walked in your shoes as a fintech compliance leader, Jamie will share insights on a proven framework to help you build resilient, cost-effective compliance systems that satisfy scrutiny and unlock investment. For fintech leaders, compliance shouldn’t be a roadblock or an endless budget drain—it should be a strategic growth engine. Space is limited for this no-cost informational and conversational virtual event. Reserve your seat at the table now: https://lnkd.in/gZrGhqVu

How would your money transmitter licensing program score if you assessed it cold, right now? We built a 5-minute MTL self-assessment for compliance leaders at fintechs: 27 checkpoints across payment flows, ownership changes, state licensing footprint, and regulatory filings. You'll walk away with an actual risk rating — Low, Moderate, or High — and a clear picture of where to look first. Curious where your program lands?

I've reviewed many fintech BSA/AML programs, and it's the same story: "We have some compliance stuff in place... but I'm not fully sure what a BSA/AML audit even checks for." Quick answer: it's an independent review of how you detect, monitor, and report suspicious financial activity — exactly what regulators and banking partners expect before you scale. If you handle money or crypto, you need this. Most founders find out too late. Every funding round or banking review, you hit the same wall. Transaction monitoring rules built for a fraction of your current volume. SAR filings inconsistent or missing. That policy your first compliance hire wrote 18 months ago, untouched since. The gap between what you have and what's expected keeps widening while you're heads-down on product. The consequences aren't hypothetical: Regulators can issue consent orders, fines, or pull your license entirely. Banking partners drop fintechs at the first sign of BSA/AML weakness — losing your sponsor bank can shut you down overnight. Investors now ask for audit history in diligence; weak compliance can stall a round. Founders and compliance officers can face personal liability, not just the company Fixing issues after an examiner flags them costs far more than catching them yourself. You're patching things quietly, thinking: "Would this survive an audit, or am I just hoping nobody looks closely?" We've spent years seeing exactly where regulators focus first — and where founders get blindsided. Right now, founders who want clarity on where their program stands are setting up strategy sessions with us. You'll walk away with a clear read on your risk exposure, your biggest policy gaps, and whether you need a full audit or targeted fixes. If you're not sure your program would survive real scrutiny...Let's set up a conversation. Learn more here: https://lnkd.in/eN5enMBZ

Many fintechs spend months preparing for a new bank partnership only to discover compliance deficiencies during due diligence. By then, timelines are delayed, questions multiply, and confidence can erode quickly. A BSA/AML Audit helps identify weaknesses before they become obstacles to growth. See what banks often look for and why independent testing matters. Schedule a free 30-minute strategy call with us.

Many fintech founders assume their compliance program is working because nobody has raised concerns. Unfortunately, that's exactly why many compliance issues go undetected. Banks, investors, and regulators increasingly expect evidence that your AML program has been independently tested. If you've never had a BSA/AML Audit, you may have no idea whether critical gaps exist. Learn what a BSA/AML Audit actually reviews—and what it could uncover about your program. Schedule a free 30-minute strategy call with us.

If your AML program has never been independently tested, you're relying on assumptions. Many fintechs believe their compliance controls are functioning properly until an outside review says otherwise. A BSA/AML Audit helps determine whether your controls are operating as intended and whether gaps exist that could create future problems. Learn what an audit covers and why it has become a critical expectation for fintechs. Schedule a free 30-minute strategy call with us.