The ComplianceWorks Difference

The most important aspect of ComplianceWorks’ service is the client relationship. It’s not just the compliance work or even the direction of the compliance program – it is getting to know the people that make the firm.

Why Choose ComplianceWorks, Inc

  • ComplianceWorks proactively directs/monitors the whole compliance program for clients OR provides a valuable experienced resource to support larger client compliance departments.
  • ComplianceWorks professionals are former CCOs that take a vested, accountable interest in their work.
  • ComplianceWorks provides business-savvy compliance solutions that are appropriate for the size and business model of the client.
  • ComplianceWorks provides CCO caliber compliance assistance for a cost less than a basic administrative assistant.
  • Our level of service retains our clients, not our agreements.

Common Sense

The goal of a compliance system should not be perfection, but more of an approach that does not interfere with business operations while still keeps the organization from financial or reputational damage.

Define and Direct Client Compliance Program

Flexibility of Service Level

If we need a contract to keep our clients, we do not deserve the privilege of their business.

  • Flexibility is Customizing Your Solution – No prepackaged task groups allows clients to choose service level based on regulatory risk, value add and budget.
  • Flexibility to Change Service Level Any Time – Clients can change service level anytime at no cost except task specific charges
  • Flexibility for Temporary Assistance – ComplianceWorks can step in to perform tasks not part of monthly agreement on an hourly basis to eliminate bottlenecks
  • Flexibility is No Long-Term contracts – 30 day termination
  • Flexibility is cost certainty – our contracts do not “run out of hours” creating a higher cost

A Few Words from some of our Clients

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To Our Valued Clients:

Due to the severity of what we are facing, ComplianceWorks has decided to take proactive action to honor our commitment to truly being a partner with our clients.  We understand that falling short on compliance obligations in reaction to this difficult environment would only further increase risk to our clients.  Thus, effective April 1, you will be given a temporary [10%-25%] reduction in the monthly ComplianceWorks’ fee without a reduction in service or tasks outsourced to ComplianceWorks.  This puts the cost of our services more in-line with the uncertainty of firm financial conditions and puts our firms in the same boat as we all work toward recovery.  We will re-evaluate the discount every 3 months to determine then continuance and the amount of reduction going forward. 

Please understand that the reduction in your fee is not permanent and that at some point in the future we will return to the normal contracted price for the services provided.

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