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Our ACQ and OBA Solutions are Now OnlineYou no longer have to be buried under a pile of Annual Compliance Questionnaires or Outside Business Activity Forms. TCD's new online Annual Compliance Questionnaire and OBA Questionnaire are an easy solution for all sizes of Firms. Our comprehensive ACQ and OBA reports provide the depth and breath of information to identify a variety of individual and systemic compliance issues. This fully Web-based on-line system provides for paperless reporting, attendance and completion logs, 24/7 availability, issue identification, automated flagging and notification, and a substantial improvement in the utilization of manpower and time. These reports are designed by Compliance Officers for Compliance Officers. Get to the point and get the information you need. These new reports give you the important information fast, saving you hours or days you would have spent reading through stacks of paper. The automated detailed reporting provides you with risk analysis, identification of action items requiring follow-up, executive summary for quick analysis, and respondent completion detail. Call us now and start saving your time and sanity. John Simmers joins The Compliance Department Inc.
In making the announcement, Hebert stated, “We are excited to have a person of John’s caliber join our executive team. John’s experience and knowledge of our industry will lend itself well to our efforts at developing compliance products that are practical, efficient and beneficial to meeting the many and varied compliance issues we face.” Simmers stated, “The Compliance Department has set itself apart from the competition by developing advanced risk management tools that allow broker-dealers and investment advisors to meet their regulatory requirements in efficient and cost effective ways. I am excited to join a company devoted to serving the industry.” John's vast experience and knowledge of the industry earned him the respect of his peers as evidenced by the many prominent positions held including his membership on the FINRA Board of Governors and past Chairman of the Financial Services Institute (FSI). John recently voluntarily resigned his chairmanship and CEO positions with ING Advisors Network and their four related broker dealers as well as Chairman of The ING National Trust and all retail insurance agencies affiliated with the distribution of life and health insurance products. The ING Advisor Network consistently ranks among the top broker dealers in the country with revenues exceeding a billion dollars and where both operations and technology platforms were industry leading departments. John’s experiences include both the regulatory and industry sides of financial services. John began his career in 1974 as an NASD (nka FINRA) examiner and rose to supervisor. In 1984 John co-founded and was Executive VP, COO and CCO of Financial Network Investment Corporation; now a member of the ING broker-dealer network. John has been a Board member of NAVA - The National Association of Variable Annuities; Founding member and past Chairperson of The California Association of Independent Broker Dealers where served on numerous committees; past Member of SIFMA and SIA where he served on various committees; and past member of The Financial Planning Association where he served and chaired various committees. Junior Achievement Rocky Mountain, Inc. recognizes Brian Helmuth Brian Helmuth, Vice President and Director of the AdminSolutions division of The Compliance Department Inc. was recently recognized by Junior Achievement for his seven years, 27 Junior Achievement classes and an inspiration to 700 students. Brian first became involved in Junior Achievement when his youngest daughter’s first grade teacher asked him to volunteer in her classroom. Brian continues to volunteer because of the students and the teachers, “seeing the light go on when the students understand what is being taught is priceless.” Being in the classroom has also given Brian a new appreciation for everything that teachers do. Brian recalled a special moment that occurred this past year. “On the last day of teaching 2nd grade, I brought in goody bags, a snack and a drink for a little party afterwards. On this occasion I was able to bring one of the owners of The Compliance Department to the class. She was able to see firsthand what I was doing in the classroom and to see the excitement in the students and their eagerness to learn. It’s a special moment because the Company I work for has been so gracious to give me the time off when I need it.” The Compliance Department Inc. is proud to support its employees in their efforts to give back to the communities we live in. Compliance SCORE is Online The Compliance Department Inc. is proud to announce Compliance SCORE. Compliance SCORE is a Supervisory Controls - Compliance and Risk Assessment Application designed to provide measurable benchmarks in the firms testing and validation process; commonly referred to as the 3012-3013 process. The new Compliance SCORE tool will allow firms of all sizes to streamline the testing and verification process saving time and money.... <Continue reading> . 2009 Mile High Compliance Workshop 5th Anniversary The Compliance Department Inc. once again hosted "The Mile High Compliance Workshop" June 17-18 -19, 2009 at the Brown Palace Hotel in downtown Denver, Colorado. Now in its 5th year, the workshop brought together Compliance Professionals from all facets of the securities industry. The workshop format created a unique meeting environment that maximized the exchange of information between both presenters and attendees as well as between the attendees themselves. As the securities industry weathers the challenges of a new presidential administration and the global shifts in how we do business as a result of the credit crises, the Mile High Compliance Workshop addressed the latest in regulatory, industry, administrative, and strategic issues impacting broker-dealers and investment advisor compliance programs. Participants took away a wealth of knowledge in addition to a reinforced network of fellow compliance professionals. Following on the successes of our previous Workshops and by popular demand, each session was designed to deliver best practices for the topic being discussed. Participants learned about the hottest industry trends and opportunities as well as recent changes in regulation and oversight. The Mile High Compliance Workshop is the most comprehensive program available - it is the only industry conference that brings together compliance professionals involved in all facets of the securities industry in one event!
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| Web Page Compliance | |||
Have you seen some of the FINRA fines for companies who choose not to monitor their reps' web pages? The Compliance Department has your answer - web page monitoring. The service includes: |
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The Compliance Department Inc. specializes in providing Compliance out sourcing services to securities broker-dealers
and investment advisors as well as banking institutions and insurance companies. Our clients range from individual
investment advisors to large independent broker-dealers as well as bank-owned broker-dealers and insurance
companies. Through our network of associated compliance personnel and consultants we are able to deliver high
quality services at competitive pricing. Our advice represents over 100 years of combined compliance experience in
broker-dealers, investment advisors, banking institutions, and insurance companies.
Chet Hebert, CEO of The Compliance Department Inc is proud to announce that John Simmers has joined the executive team of the nationwide compliance consulting firm as Senior Vice President and Director of Risk Management Product Development.