The DOL Fiduciary Rule explained! Here’s a clear picture of what this rule means for financial advisers and how your firm can prepare to comply by Sept. 23. #DOLFiduciaryRule #RetirementRule #ComplianceNews Learn more: https://lnkd.in/eW6pqk_k
About us
At COMPLY, we pride ourselves on being the champion for compliance professionals. Merging technology, consulting and education, we help clients navigate the ever-changing regulatory environment. Our deep bench of industry expertise – which includes expansive knowledge in technology enablement and regulatory compliance protocols and processes – supports more than 7,000 clients, including investment management firms, private equity firms, hedge funds, broker-dealers, registered investment advisers, and other financial service sector participants. Learn more at comply.com.
- Website
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https://www.comply.com/
External link for COMPLY
- Industry
- Financial Services
- Company size
- 201-500 employees
- Type
- Privately Held
Employees at COMPLY
Updates
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Our new UK Compliance Consulting Services simplifies compliance with: ✅ Annual reviews ✅ Training ✅ FCA support ✅ and much more Our software and expert guidance empower you to #COMPLYwithConfidence. Learn more: https://lnkd.in/ev8Dxa23
Contact us - COMPLY
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We are #hiring! We are seeking an experienced Compliance Consultant to join our growing team. In this role, you'll provide ongoing compliance assistance, respond promptly to client inquiries, and help develop innovative solutions. This position offers opportunities to shape the future of compliance at COMPLY. #HiringNow #ComplianceConsultant #ComplianceJobs Apply now: https://lnkd.in/eEuwJSMa
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Attention California IARS! 📢📢📢 Have you heard? California is now one of the most recent states to officially implement the NASAA IAR CE requirement. With this most recent update, here's a refresher on IAR CE requirements, what states have or plan to implement the requirement, and how you can ensure compliance with this rule. Learn more: https://lnkd.in/egmQqnCD
California State Registered Advisers Must Now Follow the NASAA IAR CE Model Rule – Here’s What You Need to Know
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Curious about the booming investment adviser industry? The 2024 Investment Adviser Industry Snapshot, co-created with the Investment Adviser Association, dives deep into record growth, staffing trends, and so much more. Download the report to gain critical insights and learn more about the trends and trajectory of the industry! #InvestmentAdvisers #IndustryTrends Download now: https://lnkd.in/eJ3-68fM
Investment Adviser Industry Snapshot 2024
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The FCA has new guidance on overseeing Overseas Appointed Representatives. Are you sure your firm meets expectations for communication, monitoring, and customer protection? This article is a must-read for details on the FCA's recent briefing and how to ensure your OAR relationships are compliant. #FCA #OARs #UKComplianceNews Learn more: https://lnkd.in/eG-AjdKB
FCA cautions adviser firms over 'challenges' of overseeing overseas representatives | International Adviser
https://international-adviser.com
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Fast Track Your IACCP® Certification! The IACCP® Program Symposium condenses half the coursework into four intensive days. Deepen your knowledge of investment adviser regulations and compliance. This program covers trading, data security, the Marketing Rule, SEC updates, and more. Bonus: Earn IACCP® CE, CPE, MCLE, and CFP® credit. #ComplianceEducation #RSVPnow Investment Adviser Association RSVP now: https://lnkd.in/enWh4q76
In-Person Investment Adviser Certified Compliance Professional (IACCP®) Program Symposium
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Introducing our Case Management module! Create, manage, and report on potential breaches -- all in one place. #ComplianceManagement #COMPLYwithConfidence Learn more: https://lnkd.in/evJwZYqj
ComplySci Platform | Elevate Your Compliance Solutions
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Between new rules, new requirements, new burdens, and new risk, how are CCOs expected to keep up with it all? Join our webinar to learn the tactics to help support critical prioritization amid endless compliance evolution, even with resource constraints. Bonus: This webinar qualifies for 1 IACCP® CE credit! #COMPLYwithConfidence #ComplianceWebinar #USCCOplaybook RSVP now: https://lnkd.in/eHTzMxgj
The Impact of Regulatory Evolution: Why CCOs Must Practice Ruthless Prioritization to Achieve Compliance in 2024
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We are #hiring! We are seeking an experienced Data Engineering Manager to join our growing team! In this role, you'll design advanced tools, build efficient workflows, and guide our team to scale data extraction while mentoring in-house and offshore staff. This is your chance to shape COMPLY's future in data excellence. Apply now: https://lnkd.in/eEuwJSMa #HiringNow #DataEngineering #SoftwareEngineering #TechJobs
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