Themis Consultants, Inc.

Consulting Services

Themis Consultants

financial fraud investigations, Data Privacy breach, BSA/AMl/CFT

Consultation services for your company including financial fraud investigations, SAR, AML/CFT (BSA), false claims act, data privacy breach and cyber-security management controls systems (policies, processes, and procedures) ensuring compliance with US (state, federal) and EU laws (including EU-GDPR), regulations and rules. 

By understanding the following we can assist your company in mitigating the risks associated with your existing company and potential gaps or failure to comply with US and EU laws as well as investigate potential fraud:

  • What types of personal data your company obtains, retains, processes
  • How your company processes and transfers data (data flows)
  • The process of how you protect the data
  • What legal and regulatory issues are specific to your company/industry
  • How your company responds and handles incidents of data privacy breach
  • How your company makes risk based decisions and assessments of the existing systems, projects, initiatives, and expanding into new products, services and or geographical locations
  • Investigation of financial transactions to ascertain fraudulent practices or to ensure regulatory compliance

CORPORATE OPERATIONS, POLICIES, PROCEDURES & SYSTEMS, Regulatory and Compliance Workflow Processes  

We provide services for the creation, review, and enhancement of end to end workflow operational systems, processes, and templates for industry specific businesses assisting your company in boosting productivity, efficiency, and service levels.

  • Employment Processes - application, hiring, training, investigation, review, termination, post-employment
  • Contract Management System- customer and vendor systems - due diligence, contracts clause database, maintenance
  • Intellectual Properties Portfolio Management Systems - trademark, copyright, patents - application, maintenance, termination 
  • Financial Services Compliance Systems - BSA/AML/CFT, OFAC, payment systems, KYC, CRA
  • Lending Processes - application, denial, underwriting, servicing, payment, collection, enforcement against collateral, release
  • Retail Banking Facilities & Equipment Management Processes - licensing, branch/location opening, relocating, closing, leasing, purchase or sale, insuring, security
  • Legal & Claims Management System (garnishments, complaints, investigations, subpoenas & discovery, insurance claims) 
  • Data Privacy Process Systems - PHI, CIP, payment systems. 

Enterprise risk management

We provide development and enhancement services for your Enterprise-wide Risk Management System.  Operational or enterprise risk management ("ERM") looks at the entire company and all of its internal and external influences to determine what are the risks to the company and how to mitigate those through controls (policies, procedures, processes) including identification, assessment, monitoring, measuring, and response processes to risk within the entire company: 

  • What are your company's identified risks and unidentified risks?
  • What are your internal critical controls for those risks within each operation of your company (by department, product, service, workstation) and are they identified?
  • What is the audit system or process you use to measure, monitor, report and communicate those risks from the front line to the Board or Executive Management team and back to the front line?

We can then address the following categories of risk: Physical Hazards (earthquakes, floods, etc.) that affect the physical assets of the company (facilities, infrastructure, etc.); Process or Systems Failures (power, software, etc.); Legal and Compliance (noncompliance with regulations or lawsuits, recalls, etc.) resulting in fines, sanctions or closure of business; Illegal or Criminal activity (theft, terrorism, fraud, etc.); and Human (employee errors, lack of skilled or experienced labor pool, etc.)

The single biggest problem in communication is the illusion that it has taken place.
— George Bernard Shaw