Broker-Dealer Program Audits
Focus on managing compliance, not people and operations.
NRS provides program audit services for some of the nation’s largest broker-dealers. We start with a dedicated account team, focused on your business, to help you plan and design a field audit program. Our powerful combination of people, ComplianceMAX Audit technology and expertise can extend your resources, expand your capabilities and drive the results you need to remain compliant. Whether employing our technology solutions or engaging with our outsourcing team, our people, expertise and consistent results can help you take control of your audit program, increase efficiency and find peace of mind.
NRS Program Audit services delve deep to uncover problems and resolve issues quickly and effectively. Outsource your audit program to NRS and improve your bottom line: our goal is to increase your team’s productivity, improve overall compliance accuracy and reduce the costs of compliance – without losing thoroughness and consistency.
Our team of auditing professionals can conduct auditing services from our offices or onsite at yours, including portfolio management compliance, investment process documentation, market timing policies and procedures, trading practices, disclosure and shareholder disclosing, and other areas.
To Learn more download our CMAX™ Programe Audit PDF or for further information or to speak to a sales rep please contact us.