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Compliance Services

A la carte services to reduce your burden.

FINRA requires all brokers/dealers to develop and implement compliance programs which include written policies and procedures reasonably-designed to prevent violation of any regulatory rules. In today’s ever-evolving environment of rules and regulations, more time is required to accomplish this goal than ever before. Red Oak has compliance programs designed to help you meet your regulatory requirements.

Red Oak can augment your personnel’s skills and reduce your compliance burden with our à la carte services. These services cover the registration, compliance, or supervisory need that a broker/dealer may have. With over 40 years of combined experience, our highly-qualified compliance team can help you improve efficiency, increase profitability, and make your job easier.

Our Compliance Services Include the Following:

  • AML Audit/Independent Testing
  • AML Procedures
  • Annual Compliance Meetings
  • Books and Records Creation and Review
  • Business Continuity Plan Creation and Review
  • Compliance Procedures/Manuals Creation, Customized and Reviewed
  • Customer Complaint Review & Form Filing
  • Due Diligence/Product Reviews
  • Mock FINRA Regulatory Examinations
  • Regulatory Examination Assistance
  • Regulatory Inquiry Assistance
  • Regulatory Mandated Consulting
  • Risk Assessment
  • Regulatory Filings
  • 3120/3130 Supervisory Controls Assessments
  • Surveillance
  • FINCEN Reviews
  • CE Plan Creation and Review

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