Business Continuity Planning (BCP) is an ongoing process that seeks to mitigate the risk and exposure to unforeseen and uncontrollable events, which may impact a firm's business. BCP includes:
(1) Disaster Recovery Planning (DRP), in which the firm develops and tests plans to restore the IT and other technology infrastructure for continued operation;
(2) Business Process Continuity, in which divisions/department develop and test plans to keep their units functioning in the face of interruptions, paying careful attention to critical internal and external dependencies.

The BCP planning effort involves the development of the prioritization of business objectives and critical operations that are essential for recovery. This framework should consider how every critical process, business unit, department, and system will respond to disruptions and which recovery solutions should be implemented. In addition, it should include a plan for short-term and long-term recovery operations.

The planning process incorporates the following steps:
(1) A Business Impact Analysis
(2) Risk assessment
(3) Risk management and
(4) Risk monitoring and testing.

Compliance
The Compliance function specializes in broker-dealer 3010-3012 Supervisory Reviews and 3011 Anti-Money Laundering Reviews, and Regulatory Compliance for international banks doing business in the United States.

Regulatory Compliance includes staff training, independent Bank Secrecy Act (BSA) Reviews, preparation for and support during regulatory examinations, and development of compliance reviews and pertinent testing.