ABM Solutions, LLC

ABM Solutions LLC (ABM) is a boutique consulting firm which provides regulatory advisory services to investment and private banking, asset management, wealth management and brokerage firms. Our consulting philosophy revolves around partnership, service, and quality in our efforts - both within our firm and within our interactions with our clients. ABM’s compliance consulting team has extensive experience in financial services and advisory industries, drawn from such roles as attorneys, senior compliance officers, regulators and former law-enforcement personnel. Our team has first-hand practical knowledge and experience, gleaned from years developing effective compliance and regulatory programs, and assisting with regulatory examinations and investigations. ABM Solutions LLC (ABM) is a boutique consulting firm which provides regulatory advisory services to investment and private banking, asset management, wealth management and brokerage firms. Our consulting philosophy revolves around partnership, service, and quality in our efforts - both within our firm and within our interactions with our clients. ABM’s compliance consulting team has extensive experience in financial services and advisory industries, drawn from such roles as attorneys, senior compliance officers, regulators and former law-enforcement personnel. Our team has first-hand practical knowledge and experience, gleaned from years developing effective compliance and regulatory programs, and assisting with regulatory examinations and investigations. Services Offered Our services range from the proactive assessment of current programs to responding to regulatory actions - and everything in between, including: - Compliance / Sanctions program health checks (AML / BSA / KYC / OFAC) - Regulatory exam issue management and response - Independent audits - Risk Assessment drafting - Backlog remediation - Transaction monitoring - Software assessment / testing / tuning - Remediations / lookbacks - CIP / EDD Review, including on-boarding - Policy and Procedure drafting - Quality Control and Quality Assurance reviews - Suspicious Activity Report drafting and filing - Staff augmentation (temporary and permanent) - Project management - Targeted training