Continual Compliance Support

Your firm can have the direct dial connection it needs for subject matter expertise. For a flat fee, CompliGuide will provide your compliance personnel with continual compliance support via telephone or email to address the variety of compliance issues that continuously arise.

Audit Assist Reports

A firm’s audit program is only as effective as its’ analysis. CompliGuide can partner with your firm to conduct a remote review of your financial professionals and provide the audit team with direction on where potential issues may exist. This review process is particularly ideal for firm’s as they create their annual audit schedule, by identifying financial professionals which may pose an increased risk to the firm through, for example, undisclosed businesses, financial problems or other material events.

Compliance Testing

CompliGuide can assess your compliance programs for hidden weaknesses which expose the firm to regulatory and litigation risk. CompliGuide will partner with your firm to develop processes which will streamline your compliance program, making it understandable and user friendly for field personnel.

Regulatory Requests

Responding to regulatory requests is not an easy matter and firms that do not understand the nuances of the request and process may have lost the opportunity to properly address regulatory concerns. CompliGuide will work with your compliance and, where necessary, management and field personnel to create regulatory responses which accurately and concisely address regulatory concern.

Compliance Manuals

Firms that utilize an “off-the-shelf” compliance manual typically have a product that is unwieldy, over-broad and one which may impose restrictions and processes which are unnecessary to the firm. These problems unnecessarily expose your firm to risk. CompliGuide can assess whether your compliance manual fits your firm’s needs and develop a user-friendly manual for your firm.

Background Reviews

Disengaging from employment and other business relationships can be an expensive and time consuming process which can negatively affect your firm’s relationships with customers and regulators. The typical employment screening process often does not go far enough to identify an individual or entity which may have an increased risk for regulatory or compliance problems. CompliGuide can enhance your screening processes and also conduct background reviews for individuals and entities which may pose a risk to the firm.

Compliance Disciplinary Programs

CompliGuide recommends that firms create a discipline program to mitigate risk of non-compliance with company policies, eliminate complaints of preferential treatment or harassment and demonstrate that the firm is committed to the supervision of personnel. CompliGuide can partner with your firm to create a discipline program geared towards the needs of your firm and your firm personnel.

Compliance Training Programs

Compliance Programs which are engaging and thought provoking can increase cooperation, understanding and adherence to regulatory rules. CompliGuide provides “outside of the box” instruction which will elicit critical thinking and debate from participants, better preparing them to meet their compliance obligations.

Internal Investigations

Recent enforcement actions from 2011 illustrate that firms and individuals which conduct internal investigations without an appropriate level of expertise and diligence are exposed to significant regulatory sanctions. CompliGuide can partner with your firm to assist in the internal investigation process, creating an easy to use protocol for application in the event an internal investigation is needed or collaborating with compliance professionals as they conduct an actual investigation.

Enhanced Supervision

Striking the appropriate balance when crafting an enhanced supervision plan is a difficult task. CompliGuide can assess the issue and work with your firm to craft a compliance plan which will satisfy supervisory obligations and is in line with industry practices.

Consulting Services

Our strategic partners can work with your organization to address a variety of needs such as recruiting, surveillance and operational demands. Contact us for information on the talented individuals that can help your business grow and succeed.

Customer Complaints

Understanding the reporting obligations when it comes to customer complaints is not an easy task, especially when you factor in the expectations of your financial professionals. CompliGuide can partner with your compliance department to assess reporting obligations and negotiating language that satisfies both internal and external obligations.

Document Templates

Document now with templates created by compliance professionals! Understand and address regulatory regulatory expectations on a wide variety of topics.


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Tech & Knowledge Tools

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Compliance Templates Offers the Following Services:

  • Policy Creation
  • Private Compliance Coaching
  • Compliance Training Programs
  • On-line Compliance Tutorials
  • On-Line Compliance Tools