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Ongoing compliance oversight as your firm's outsourced or interim Chief Compliance Officer.
Engagement Includes:
Development, maintenance, and oversight of compliance programs
Review and enhancement of policies, procedures, and supervisory systems
Compliance calendar management & ongoing monitoring activities
Supervision of personnel, branch activities, selling agreements, and controls
Leadership presence for examinations, governance, and board reporting
Structured compliance documentation for defensibility and audit readiness
Ongoing compliance oversight as your firm's outsourced or interim Chief Compliance Officer.
Engagement Includes:
Development, maintenance, and oversight of compliance programs
Review and enhancement of policies, procedures, and supervisory systems
Compliance calendar management & ongoing monitoring activities
Supervision of personnel, branch activities, selling agreements, and controls
Leadership presence for examinations, governance, and board reporting
Structured compliance documentation for defensibility and audit readiness