NRS ComplianceGuardian™ 

Advance to the next level in compliance management support. NRS ComplianceGuardian™ takes you there.

Imagine the confidence of doing business with a reliable and expansive suite of web-based compliance management tools combined with online training and real-time consulting services. This is exactly what NRS ComplianceGuardian™ delivers – and more.

As a NRS ComplianceGuardian™ subscriber, your entire compliance team adds an extraordinary resource to virtually all aspects of your compliance program – accessible 24/7/365 via a single, password protected web portal. This essential service combines the vast array of NRS compliance resources into a solution that helps you meet your evolving business and regulatory compliance needs.

NRS ComplianceGuardian™ brings together best-in-class compliance services, tools, education and consulting into a “one-stop” online solution designed to give your firm a flexible, user-friendly and systematic framework to help ensure compliance. Your compliance personnel, managers and associated persons can perform all of their regulatory activities through NRS ComplianceGuardian’s ™ web-interface where they’ll find:

• Single interface for all compliance forms
• Simple, user-friendly design
• Alerts and progress reports to keep your associated persons on track
• Permission-based hierarchical user model that matches your firm's supervisory structure
• Ability to private label with your firm's colors and graphics
• And more!

Developed as the most complete, interactive compliance assurance program available, you choose how to use all of its offerings to your firm’s best and full advantage. Open your entire compliance team – or specified individuals with password protected access – to NRS ComplianceGuardian's™ unique resources, including:

• Monthly Compliance News and Research Center - with the latest regulatory news, alerts, compliance calendars, guides, checklists and other compliance information to keep you current and informed on changes and new requirements. Log on to your own personalized compliance portal where you’ll find guidance and reminders for monthly activities and quarterly and annual responsibilities.
• Model Documents – your online, centralized “compliance library” where you’ll find time-saving model documents, including Form ADV, a business continuity plan, a model code of ethics and other documents to simplify and streamline your compliance efforts. This advanced compliance forms and documents management system is designed to dramatically improve operational efficiencies by eliminating costly paperwork, improving operational processes and workflows, and more.
• Searchable Policies and Procedures - Comprehensive and effective Policies and Procedures are the cornerstone of your firm’s compliance program. With this online tool you can quickly locate policies and procedures and implement Written Supervisory Policies & Procedures ("WSPs"), covering all aspects of your business. From issues protecting against money laundering and insider trading, to routine internal reviews and the use of "exception" reports, NRS ComplianceGuardian™ ensures you have the tools you need for your compliance program. Your entire team will benefit from such features as:

  • A questionnaire designed to utilize answers in the preparation of your customized manual.
  • Sample Firm Policies, written by NRS and created based on the answers in the completed profile questionnaire.
  • Sample procedures for a firm to edit and customize for their own requirements.
  • Regulatory references for more specific regulatory information.
  • An unlimited number of users with access to the online manual and the ability to track usage by users.
  • The ability to create and access archived manuals.
  • Anti-Money Laundering training -- written by NRS compliance experts, these training modules meet your firm's annual rep requirement.
  • Rep Tracking - NRS ComplianceGuardian™ provides the most comprehensive, integrated tool to track rep licenses, continuing education and appointment.
    

• Web Seminars – NRS ComplianceGuardian™ brings critical compliance training right to the desktop via the internet covering a wide range of today’s most relevant and crucial compliance issues and requirements. Each month, NRS ComplianceGuardian™ provides you with a one-hour web seminar, delivered by our compliance professionals, focusing on a current hot issue or important topic.  You may also choose 3 desktop seminars on any topic beneficial to your firm, at no additional cost.
• NRS Consulting – NRS ComplianceGuardian™ subscribers receive one hour per month of on-demand, one-on-one consulting time as part of the annual subscription. Subscribers maypurchase additional consulting hours at a discounted rate.