Compliance professionals are expected to have a foot in two different worlds – to be thoroughly up-to-date on regulatory requirements and to be fully immersed and forward-looking to support their organization’s strategic efforts.
As regulatory guidelines become increasingly stringent and business operations continue to complexify, compliance professionals will need to utilize their full range of skills to handle their responsibilities and showcase their value to their organizations.
In this executive brief, we’ve outlined some top areas where compliance professionals should focus their critical thinking and resources. Download it today and start mapping out your areas of focus for the upcoming year.
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About Red Oak Compliance Solutions
Red Oak Compliance Solutions is the global advertising review software of choice in the financial services industry. It is a comprehensive suite of SEC 17A-4 compliant features that are 100% books and records compliant and provides clients with 35% faster approvals and 70% fewer touches or better. We also offer Smart Review(SM), which solves for the storage and maintenance of disclosures, helping firms reduce risk, decrease review times, and increase the speed of distribution of marketing materials. Smart Registration(SM) automates the licensing and registration management process to help reduce regulatory risk and time spent on manual processes. Overall, Red Oak allows firms to minimize risk, reduce costs, and increase compliance review process effectiveness and efficiencies.