Chief Compliance Officers often hear from FINRA, SEC or other regulators – “If it wasn’t documented, it wasn’t done”.  We have been creating compliance related documents for compliance officers in the financial services industry for years.  To help your Firm meet its compliance obligations, we have made our most frequently used compliance templates available for purchase.  Now compliance departments can immediately purchase a compliance template to help document its’ supervisory efforts.  Customize the template as you need or contact us for further compliance help.  

A well-written compliance document should address relevant regulatory rules, accurately memorialize the situation and consider standard policies or practices within the industry.  Many compliance officers are not sure how to start, what their peer firms are doing or what a FINRA regulator may expect.  Compliance Templates provides insight and the freedom to customize our templates for your particular needs.  If you want help customizing your compliance template, we can help with that too.  We can also create a compliance document specific to your needs.

Compliance Templates’ goal is to provide financial service industry firms and their employees with user – friendly compliance template samples and other compliance tools such as compliance videos and compliance coaching sessions. With significant professional experience in the financial services industry crafting compliance and supervisory documents and coaching compliance officers, our compliance tools can help you navigate complex compliance obligations.

With Compliance Templates (a division of CompliGuide LLC) you can:

  • Purchase and download compliance templates
  • Select and book an appointment with an independent compliance consultant experienced with your specific area (coming soon)
  • Book an appointment for a Compliance Policy Manual re-write
  • Purchase Compliance Alerts or Newsletters for Sales Field Personnel
  • Purchase tools to satisfy your Annual Compliance Training Program Obligations or Book a Live Compliance Event
  • Book a compliance consultant for Regulatory Exam Support & Guidance (on-site or remote)
  • Purchase streaming Compliance Tutorials (Coming Soon)
  • Regulatory Defense Plan Membership (Coming Soon)
  • Expungement Assistance

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