Enterprise Compliance

About Our Enterprise Compliance Services

Enterprise compliance is the term used to describe the actions an organization takes to adhere to laws, regulations, standards and ethical practices. At Ascension Technologies, LLC, we approach Enterprise Compliance Management System (ECMS) as a fully integrated part of your business, we take a centralized, coordinated approach that spans all business units and teams.

We take a top-down approach to building and implementing an effective compliance management program. Our program focuses on the risks that companies face in the complex mine field of understanding local, state and federal laws and aligning them with business objectives. It provides visibility into an organization's compliance posture and helps ensure that compliance risks are mitigated.

An ECMS program has far-reaching advantages. Beyond helping to effectively navigate business risks and opportunities, lowering regulatory and reputational risk, an effective an ECMS Program can ensure your company stays competitive, leads to better decision-making, ensures long-term sustainability and can aid in gaining competitive advantage.

Building an enterprise compliance management system is not a one-time event, but rather an ongoing journey that requires continuous improvement. We work with you to develop a roadmap for your enterprise compliance journey.

  • Bank Secrecy Act (BSA)
  • Anti-Money Laundering (AML)
  • Office of Foreign Asset Control (OFAC)
  • Consumer & Mortgage Lending
  • Truth in Lending Act (TILA)
  • Real Estate Settlement Procedures Act (RESPA)
  • Equal Credit Opportunity Act (ECOA)
  • Home Mortgage Disclosure Act (HDMA)
  • Debt Collection
  • Fair Debt Collection Practices Act (FDCPA)
  • Fair Credit Reporting Act (FCRA)
  • Unfair, deceptive or abusive acts or practices (UDAAP)
  • Service members Civil Relief Act (SCRA)
  • Consumer Privacy
  • Payments

We know how to keep our clients compliant with today's changing laws and regulations. Our services include Regulatory Compliance Consulting, Managed Services, Audits, and Pre-Exam Readiness Services. We also have a team of enterprise compliance experts who can help you with all your enterprise compliance needs.


Regulatory compliance has become part of the ongoing battle for most organizations, it’s no longer a nice to have but a must have for companies to stay abreast of compliance related issues. In this relentless quest to keep pace with the mountain of legislation that companies must comply with, coupled with growing regulations, compliance teams are stretched thin.

At Ascension Technologies, LLC, our ECMS systems can transform the compliance landscape, providing much-needed relief to overburdened teams. By automating and consolidating the compliance process, ECMS gives compliance officers the breathing space they need to focus on more strategic tasks.


Establishing compliance policy and procedure documents are the bedrock of an effective ECMS. These documents allow for enterprise compliance to work in lock step with applicable laws, regulations and standards. Most organizations will require:

  • Consumer Complaint Management
  • Marketing/Advertising Review
  • Automated Clearinghouse (ACH)
  • Remediation
  • Third Party and counter party risk

Compliance monitoring is the process of assessing enterprise compliance with internal policies and external regulations. Its purpose is to spot compliance risk issues in an organization's operations or function.

A typical compliance monitoring program includes the following elements:

  • Defining what compliance means for the organization
  • Establishing processes and procedures for achieving compliance
  • Training employees on compliance requirements
  • Monitoring compliance on an ongoing basis
  • Investigating and addressing non-compliance a continuous process to ensure that affected staff is following all policies and procedures in the manual.

A customized ECMS can be defined as "a state in which an organizations people, processes, and technology are aligned with its mission, goals and laws." Enterprise Compliance goes beyond simple governance and incorporates all aspects of a company’s compliance.

Why Ascension Technologies

Our mission is to provide our clients with the highest quality consultancy services that are purpose-built and designed to add value. We are dedicated to helping our clients achieve their strategic objectives and reach their full potential.

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