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Broker-Dealer Hourly Engagements

Many times broker-dealers are just looking for assistance in particular areas and not someone to come in with the idea of providing a more comprehensive approach. Some, but not all, of the specific areas advisers approach ComplianceWorks for assistance include:

  • Disaster Recovery planning, reviewing, updating and testing
  • Suitability issues, documentation and monitoring
  • Privacy Policy disclosure and program development/testing
  • Training of personnel in compliance tasks
  • Compliance considerations for new business or product areas
  • Best Execution analysis
  • Advertising and correspondence review
  • Trade documentation
  • Mutual fund considerations
  • Variable annuity and life product considerations
  • Client file documentation
  • Licensing of registered representative issues
  • Heightened supervision plan development and implementation
  • Annual Compliance Meeting agenda and presentation
  • AML Training
  • Firm element training
  • Gap analysis and CEO Certification
  • Needs analysis
  • Associated person attestations

Regardless of the scope of an engagement, ComplianceWorks is committed to helping small-to-medium sized broker-dealers have an effective compliance program that fits within the budget.