Spotlight Compliance Solutions

Description

• Spot On Solutions to Your Compliance Questions and NeedsThe services provided by Spotlight Compliance Solutions dont come pre-packaged. This is not a one-size-fits-all industry. Virtually all of our client relationships begin with a no-obligation consultation to discuss what your broker-dealer firm needs in financial compliance solutions, both now and in the future..The following services only briefly describe the compliance work we do. Its not until we meet that well understand your firms specific needs and be able to customize an annual compliance program. Written Supervisory Procedures Code of Ethics, Anti-Money Laundering , Compliance PoliciesRegulatory Responses to Inquiries E-Mail and Social Media Surveillance Outside Brokerage Account ReviewAdvertising ReviewIndependent Anti-Money Laundering TestingBusiness Continuity PlansCompliance Program Assessment/Annual Review 3012-3130Compliance TrainingFirm Registrations - WEB CRD Service BureauSpotlight Helps Financial Services Firms Save Money No matter how you look at it, hiring an outside consultant to manage your FINRA compliance work will save on the bottom line. You dont have to ask your staff to take time away from their daily jobs. You dont have to work around the clock to get time-sensitive compliance tasks complete. .
• 

  Headquarters: , Morganville, New Jersey, United States

  More
• 

  Phone Number: +1 973-769-6253

• 

  Website: http://www.spotlightcompliance.com/

• 

  Employees:1

• 

  Revenue:$0 - 1M

• 

  Legal Name:Spotlight Compliance Solutions

• Spotlight Compliance Solutions's Social Media

  
• Is this data correct?

• |  NAICS Code: 541211  |

  Show More