ComplianceMAX™


Meet your ongoing compliance requirements and manage risk with ComplianceMAX – an enterprise solution built for broker dealers, investment advisers, and dually-registered firms. ComplianceMAX streamlines key compliance operations and works proactively flagging issues, posting reminders, speeding approvals, satisfying stakeholders and more. With ComplianceMAX you will stay ahead of the compliance curve with confidence: your firm will be properly documented, archived and stand up to regulator scrutiny.

Our robust software platform was developed under the guidance of, and is backed by, our deep bench of expert compliance professionals. These same experts are available to support you too, so you never have to work completely on your own — unless you want to.

ComplianceMAX can be purchased as standalone tools or as a fully integrated solution, and is backed by the NRS compliance team, who provides swift and custom on-boarding services based on compliance best-practices and the real-world demands of day-to-day business.

Reduce Costs, Eliminate Inefficiencies and Minimize Risk

Custom-Configurable Supervisory Control through configurable business rules and workflows,

Save Time through automated compliance processes that eliminate task-intensive compliance efforts,

Consolidate and Control via one platform and database eliminating disparate unstructured data,

Monitor, Manage and Measure compliance activities through robust reporting, and

Ensure 17a-4 Requirements through secure, comprehensive records including a complete audit trail of all entries (i.e. time/date stamps, identifying information and retention of data, related documents and materials)