Service List
This is a partial list of services provided by The Compliance Department. Please contact us for additional information.

AuditSolutions

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AuditSolutions™  is a 3rd generation automated branch office compliance examination program designed for independent contractor firms.  Utilizing our cadre of trained compliance professionals we are able to provide a quality branch examination at a very reasonable price.

AdminSolutions

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AdminSolutions™  provides web-based outsourcing for:
Back office commission processing, Direct business order processing, A full complement of compliance functions.
B/Ds wishing to have accurate accounting of trade processing computed independently, can have it now.
Do what you do best, and let us do the rest!

Compliance Consulting

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Having a friendly ear and Knowledgeable partner in the compliance business is a necessity for any firm.  We are able to provide you with the compliance resources you need to understand and operate in the new world of compliance.

Broker-Dealer Formation

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Navigating the new member application process is a specialty of ours.  Our service provides you with a turn-key solution to establishing the new broker-dealer, going through the FINRA process and getting you up and running.

TCD Compliance SCORE

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3012 Testing. Compliance with Rule 3012 & 3013 (Now FINRA Rule 3030) has just got easier. The Compliance Department Inc. has partnered with Risk Compliance Performance Solutions to provide broker-dealers with an automated tool to perform the review, test, and validation leading to the certification of  procedures required under the Supervisory Control Procedures of Rule 3012 and 3013.

Web Page Monitoring Service

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Advertising review is not just about reviewing the web page changes that registered reps have  submitted to  compliance, it’s also about reviewing  the webpage changes that reps did not submit to compliance.

Investment Advisor Formation

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Completing the paperwork to become a registered investment advisor can be a daunting task.  With our assistance, you do what you do best—serve your clients.  We take care of the rest from your ADV to your Code of Conduct and procedures.  Give us a call for full details.

Workshops

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From our annual Mile High Compliance Workshop to special workshops conducted around the country, we provide our clients with the resources they need to keep their people on top of the compliance function.

Supervisory Procedures

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The basic element of any business model is its supervisory system.  Detailing the supervision of the system is the duty of your written supervisory procedures.  We easily distinguish supervisory procedures from compliance in a manner specific to your broker-dealer.

FINOP Services

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Need a FINOP or just need assistance with your FOCUS filings?  Give us a call, we’ve got you covered.

OnlineSolutions

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OnlineSolutions™ from The Compliance Department Inc. are the Online Compliance Tools for broker-dealers and an economical solution for Compliance Supervision.

Online Annual Compliance Questionnaire

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The Online Annual Compliance Questionnaire provides an easy online solution for all sizes of Firms. Our comprehensive ACQ reports provide both the depth and breath of information to identify individual and systemic compliance issues.

 

Online Outside Business Activity Questionnaire

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The Online OBA Questionnaire provides an easy online solution for all sizes of Firms. Our comprehensive OBA reports provide both the depth and breath of information to identify individual and systemic compliance issues.