Compliance Consulting Services
Our compliance team takes a proactive approach by helping you to understand the rules and regulations that impact your lines of business and design the policies and procedures to create a culture of compliance in your company.
We have a diverse background of experience in the broker-dealer, RIA and insurance spaces which enable us to combine our knowledge and experience with well-known industry resources to reduce risk for your firm and more importantly-protect your customers.
Compliance is ever growing and changing, so let us help you with your compliance program so that you can focus on growing a successful business! Some of the areas of compliance we can assist you with include:
- Compliance Manual Design, Maintenance, and Testing
- Annual Compliance Training and Employee Certifications and Questionnaires
- Ongoing Review and Approval of: Outside Business Activities, Outside Brokerage Accounts, Gifts & Entertainment, Personal Securities, Transactions, Political Contributions, Private Securities Transactions
- Review and Approval of Marketing, Advertising, Client Presentations and Materials
- Due Dilligence
- Regulatory Filings for Broker-Dealers, RIAs and their Associates
- AML and OFAC Reviews; AML Independence Audit Coordination
- Supervision of all Electronic Communications Approved for Business Use
- SEC, FINRA, State Insurance or Investment Division Examination and Inquiry Support
- Coordination of Responses
- Employee Training and New Employee Onboarding