The right compliance program doesn’t need to be complex or expensive.
It just needs to fit your business.
Are you a securities small limited purpose broker dealer CCO
WHO NEEDS ROCK-SOLID CONFIDENCE IN YOUR COMPLIANCE PROFESSIONAL...
You don't want to find yourself unprepared in a regulatory predicament, facing an unexpected issue or a looming exam
or at risk of a FINRA related halt in business.
You need a partner and advisor who’s ahead of the game with experience to match. Whose calm professionalism has everything handled. Available and qualified to answer your questions – or theirs.
No alarming phone calls you weren’t expecting
No critical regulatory gaps
Experience and professional guidance exactly when and as you need it
Because your job isn’t to learn compliance, or to spend large amounts of potential profit on regulatory support. Your job is to grow your broker dealer.
Here at Compliance Support Services, Carolyn Kasky has over 20 years of experience providing the exact expert compliance support you need to confidently run a small and limited broker dealer like yours. Get the peace of mind that YOU need for YOUR compliance needs.
What Others Are Saying
“Your knowledge of FINRA compliance and rules are extremely valuable to our firm. In addition, you continually keep abreast of regulatory changes and new rules, and you are proactive in updating the firms’ procedures to reflect new and upcoming rules”.
-Diana L., Office Manager and Compliance Support - Investment Banking