Compliance Monitoring and Reporting

Compliance Monitoring and Reporting:

Effective compliance policy enforcement requires the coordination of multiple stakeholders, at both a local level (branch compliance officers) and corporate level (supervisors and compliance / legal departments). While monitoring and policy enforcement take place at the local level, our Compliance Supervisor allows local and corporate supervisors, compliance managers and legal departments to effectively oversee adherence at both the local and corporate level with company-wide policies and procedures.

This is essential to protecting the integrity of compliance initiatives. Compliance Supervisor allows companies to have complete control over their compliance initiatives and enable them to pro-actively respond to suspect behavior and changing regulatory conditions.

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