The Compliance Department Inc. is a leading provider of compliance outsourcing services to securities broker-dealers, investment advisors, banking institutions, and insurance companies. With a network of experienced compliance personnel and consultants, they offer high-quality services at competitive prices, leveraging over 100 years of combined compliance experience. Their comprehensive solutions include annual compliance questionnaires, outside business activity forms, and web page monitoring, helping firms streamline their compliance processes and mitigate risks.
Compliance SCORE, their Supervisory Controls - Compliance and Risk Assessment Application, provides measurable benchmarks for the testing and validation process, saving firms time and money. With a focus on efficiency and accuracy, their services ensure that clients can meet regulatory requirements and avoid fines, while also providing peace of mind through automated monitoring and notification systems. The Compliance Department Inc. is committed to delivering effective compliance solutions tailored to the needs of individual investment advisors, large broker-dealers, and insurance companies alike.
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