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.

What's New?

Does your 3012 documentation look like this?

………….Or does it look like this?

According to the Wall Street Journal, the average individual wastes six weeks per year (or one hour per day) searching for MISSING information in messy desks and files.  With Compliance Score, when you log in, you go back to the place you left off.  Your work is stored and easily available for continuous updating.

Now there is no worry about finding files and figuring out what to work on to meet your 3012 deadline!

Let us give you a 30 minute demo of the ComplianceSCORE system and learn for yourself the advantages of this compliance tool! 



Noteworthy Items

Our ACQ and OBA Solutions are Now Online

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>

Web Page Compliance

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:

  • Automatically monitoring rep and branch office websites
  • Daily notification via email of changes made, including every sub page and link
  • Examples of the text that was changed, as well as a snapshot of the page with the changes highlighted
  • Archive of the last 30 changes made to each web page
  • Monitoring websites several times a day for problem reps
  • Notification of dead links on web pages

    Prices are as low as $20 per web page. For more information, call the Compliance Department at (303) 339-9870.