Compliance Services

Service is to reduce an organization’s compliance burden by outsourcing compliance management tasks to a third-party that has the resources required to meet regulatory requirements in a more cost-effective manner.

Seven Elements of an Effective Compliance Program

• ✔ Implementing Policies, Procedures, and Standards of Conduct.
• ✔ Designating a Compliance Officer and Compliance Committee.
• ✔ Training and Education.
• ✔ Effective Communication.
• ✔ Monitoring and Auditing.
• ✔ Disciplinary Guidelines.
• ✔ Detecting Offenses and Corrective Action.