The Compliance Department Inc. specializes in providing Compliance out sourcing services to securities broker-dealers and investment advisors as well as banking institutions and insurance companies. Our clients range from individual investment advisors to large independent broker-dealers as well as bank-owned broker-dealers and insurance companies. Through our network of associated compliance personnel and consultants we are able to deliver high quality services at competitive pricing. Our advice represents over 100 years of combined compliance experience in broker-dealers, investment advisors, banking institutions, and insurance companies.
You no longer have to be buried under a pile of Annual Compliance Questionnaires or Outside Business Activity Forms. TCD's new online Annual Compliance Questionnaire and OBA Questionnaire are an easy solution for all sizes of Firms. Our comprehensive ACQ and OBA reports provide the depth and breath of information to identify a variety of individual and systemic compliance issues. This fully Web-based on-line system provides for paperless reporting, attendance and completion logs, 24/7 availability, issue identification, automated flagging and notification, and a substantial improvement in the utilization of manpower and time.
These reports are designed by Compliance Officers for Compliance Officers. Get to the point and get the information you need. These new reports give you the important information fast, saving you hours or days you would have spent reading through stacks of paper. The automated detailed reporting provides you with risk analysis, identification of action items requiring follow-up, executive summary for quick analysis, and respondent completion detail. Call us now and start saving your time and sanity.
Compliance SCORE is Online
The Compliance Department Inc. is proud to announce Compliance SCORE.
Compliance SCORE is a Supervisory Controls - Compliance and Risk Assessment Application designed to provide measurable benchmarks in the firms testing and validation process; commonly referred to as the 3012-3013 process. The new Compliance SCORE tool will allow firms of all sizes to streamline the testing and verification process saving time and money.... <Continue reading>
Have you seen some of the FINRA fines for companies who choose not to monitor their reps' web pages? The Compliance Department has your answer - web page monitoring. The service includes: