Compliance Reviews
Protect your firm when you review your compliance program.
NRS Compliance Review Services can help ensure your compliance program is ready to meet your most demanding regulatory challenges. With more than 25 years of experience in providing customized compliance services and solutions to the financial services industry, NRS is the recognized expert in testing and assessing the adequacy and effectiveness of your firm’s compliance efforts.
Your firm will benefit from the knowledge and expertise of NRS consultants, who are a team of veteran professionals including attorneys and former regulators. As experts in state, federal and SRO regulatory compliance, our consultants engage with your own compliance team to identify regulatory requirements, ensure consistent policies and procedures, prepare for regulatory examinations and more.
Choose a review that meets your firm’s needs:
- Annual Compliance Program Reviews
- Annual Reviews (206 (4)-7, 38a-1)
- Risk Assessments
- Due Diligence Reviews
- Anti-Money Laundering Audits (FINRA Rule 3310)
- CEO Certification Reviews (FINRA Rule 3130)
- Supervisory Controls Reviews (NASD Rule 3012)
- Performance Advertising Reviews
- Compliance Department Organization Reviews
- Recordkeeping Reviews
- Compliance Technology Reviews
For more information on Review Services, contact us today.