Financial Services

Chief Compliance Officer or Financial Planner?

For many years Compass Consulting has supported the growing technology needs and stringent compliance requirements of the financial services industry. Our experience with cloud-based security services, encryption requirements, FINRA regulations, and limitations on website content results in balanced recommendations and targeted solutions that incorporate solid, cost-effective technologies.

We are knowledgeable about the process of working with broker-dealers, FINRA BrokerCheck integrations, and 3rd-party security and audit providers. We have provided many software, network, and mobility solutions that conform to the vast array of compliance requirements for the industry. Our experience with email solutions, journaling, document management and retention, litigation support, and eDiscovery adds value to our client engagements and sets us apart from our competition.

We’ve leveraged our investment of time establishing these business relationships and building our financial services technology knowledge-base. As a result, our clients see this knowledge translate into informed decisions that lead to efficient and cost-effective implementations.

Whether the concern is FINRA, SOX, or HIPAA, many of our clients leverage our deep knowledge with compliance and think of us as their CCO (Chief Compliance Officer). Please contact us today. We look forward to speaking with you.