ABOUT US

Personal and Highly Specialized AML/CFT Compliance Consulting Services

Non-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 NBFIs, including investment advisers (RIAs and ERAs), 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.

Firm History:

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 expand its AML/CFT services. These services currently include AML/CFT risk assessments, written policies and procedures, training, and independent testing.

Kevin A. Klundt

CAMS, Founder and CEO, Certified AML/CFT Compliance Professional

Since 1993, Mr. Klundt 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. Mr. Klundt is a Certified Anti-Money Laundering Specialist® (“CAMS”) and a member of the Association of Certified Anti-Money Laundering Specialists (“ACAMS”). He has a Master of Arts degree from Duquesne University (Pittsburgh, PA) and a Bachelor of Science degree from Brigham Young University (Provo, UT). He has passed multiple certification examinations and has participated in numerous industry-sponsored regulatory compliance and AML training programs.