Providing specialized BSA AML/CFT compliance consulting, independent testing, and risk management solutions since 2007.
Get in TouchNon-bank financial institutions are subject to a wide range of regulatory requirements. BSA AML/CFT regulations are only a small part of these compliance obligations. With a focus on AML/CFT services for a limited group of non-bank financial institutions, including mortgage brokers and lenders (RMLOs), securities broker/dealers (B/Ds), and precious metals and jewelry dealers, SIRS provides highly specialized and personalized services. We will act as your partner in establishing a reasonable, useable, AML/CFT program. As questions or issues arise, we will be continually available to address those situations with you via phone or email. SIRS will be your personal and highly specialized AML/CFT compliance consultant.
Since 2007, Securities Industry Records Services, LLC (SIRS) has been a leading provider of innovative and cost-effective regulatory compliance services. SIRS began by offering a limited service which addressed SEC recordkeeping requirements for broker/dealers. In 2012, SIRS expanded its offerings to include AML/CFT compliance services for broker/dealers, mortgage brokers and lenders, and other types of NBFIs. With the demand for these services, and within an ever-changing regulatory landscape, SIRS has continued to evolve and expand its services to meet the needs of businesses subject to the BSA and other regulations.
Kevin A. Klundt is the Founder and Principal Consultant of Securities Industry Records Services, LLC. Since 1993, Kevin has been actively involved in the financial services industry. During this time, he has been registered with the New York Stock Exchange as an NYSE Compliance Official. He has also held the positions of Chief Compliance Officer and AML Compliance Officer with a FINRA-registered broker/dealer.
Kevin holds the Certified Anti-Money Laundering Specialist (CAMS) credential and is an active member of ACAMS (Association of Certified Anti-Money Laundering Specialists). Under his leadership, SIRS remains dedicated to providing clear, practical, and highly responsive AML/CFT compliance services.
SIRS acts as your dedicated consultant and independent testing auditor. To provide you with the most easily implementable compliance tools available, SIRS is an authorized distributor of proprietary BSA AML/CFT compliance products engineered by Division One Compliance, LLC.
SIRS specializes in Non-Bank Financial Institutions (NBFIs), including Residential Mortgage Lenders & Originators (RMLOs), Private Money Lenders, Precious Metals & Jewelry Dealers, and Securities Broker/Dealers.
SIRS operates as an independent compliance consultant and authorized distributor of proprietary BSA AML/CFT programs, risk assessments, and online training courses engineered by Division One Compliance, LLC. While SIRS handles consulting, auditing, and client fulfillment, Division One Compliance maintains and updates the underlying policy materials.
You can submit an inquiry through our consultation form below or reach out directly to discuss your firm's specific compliance requirements, examination preparation, or testing timelines.