GET YOUR FINTECH compliant AND AUDIT-READY

Cost-effective and efficient compliance solutions for FinTechs

Don’t get fined, be ready for that next review, and keep the business running.

You know your FinTech needs to stay compliant in order to keep things running smoothly, but you’re currently facing one or more of these challenges:

You don’t have the internal systems in place you need to be compliant.
You don’t have a team with specific expertise to handle obtaining necessary licensing or to create a Financial Crimes program from scratch.
You have budget constraints.
You need to get compliant fast (e.g. you’re in need of new licenses in time for a new product launch or need to get your compliance ducks in a row before the next round of equity.)

All this, and you know you don’t have time to waste on developing a compliance program that will end up being either over-engineered or missing key details.

Uppenberg Associates was founded to guide and assist FinTechs as they navigate the compliance environment.

Our mission is to provide a cost-effective and efficient way for FinTechs to stay compliant so they can keep their businesses running.

Get a solid foundation

Compliance programs that work as a living system. Fully operational, not just theoretical.

The right level of compliance

Efficient, balanced programs that are not over-engineered or missing key details.

At a more affordable price

We offer solutions that complement those offered by your attorney and in-house team, creating cost efficiencies that benefit your bottom line.

“Jamie really works with the leaders of an organization. She can take and incorporate their feedback so quickly, so the business really gets what it needs and the leaders involved are clear about what they’re supposed to be doing.”

James Oates

Compliance Advisor

Our Services

Uppenberg Associates offers a number of different services to help meet your compliance needs.

Multi-state Licensing

Get guidance through Money Transmitter Licensing (MTL) and Lending Licensing processes across every U.S. state and territory.

Financial Crimes Program Development

Let us create and stand up your Financial Crimes program. Functional in 90 days, audit-ready, compliant, and integrated with your operations.

Foundational CCO Services

Hire Jamie Uppenberg as your CCO to guide your FinTech through building a compliance program from the ground up.

Compliance Training

Get customized training for your internal teams that changes behavior and can be assessed for effectiveness.