The Compliance Department, Inc. – Broker Dealer Compliance Consultants

Webpage 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…

Compliance Consulting

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.…

Audit Solutions

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. OSJ Examinations…