ComplianceWorks Administrative Program

CAP is provided by ComplianceWorks Inc. as a tool to organize and provide key functionality to a compliance program. The use of CAP by itself will not result in a fully documented compliance program without the performance of the various compliance administrative functions by those assigned the tasks. CAP also does not and cannot guarantee favorable results in a regulatory audit. The users of CAP are encouraged to use this as a tool in their compliance program and seek assistance as necessary to fulfill the compliance obligations of a financial services firm.

What Is The ComplianceWorks Administration Program?

ComplianceWorks Administrative Program or “CAP” is a software to help organize your compliance program by customizing the compliance tasks your firm needs to maintain and translating them into calendar format with due dates, staff assignments, and frequency. Additionally, CAP promotes enhanced compliance reporting for all of your firm’s staff members by providing an easy to use, no login needed browser bookmark to report advertising for review, political contributions, gifts, complaints, personal brokerage accounts, and personal trading pre-clearance.  The CCO (or outsourced consultant) is emailed when an item is submitted to complete the review and approval process. All of this functionality is displayed to the firm CCO or designee in a concise dashboard showing what compliance tasks are coming up, the status of any compliance tasks in process, any past due compliance task and a summary of all areas of compliance reporting needed or in process of review.  The program is easy to use and includes instructive videos to augment the use of the program.  Set up and initial training will be performed by a ComplianceWorks consultant.

ComplianceWorks Administrative Program

$ 180
  • Cost is $180 per month to be paid via electronic debit or credit card; if by credit card the monthly cost is $185.
  • The license is for six months and then month to month there after
  • Assistance with initial set up and training is included; ongoing support is included up to an hour of request time. Ongoing support generally does not include compliance consulting and is only on the use of the software.
  • Subscribers to the software can access compliance consulting through discounted hourly packages or adding on outsourced compliance assistance – all of which will be added to the monthly cost.

A Few Words from some of our Clients

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