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Case Study

Compliance Manual

Regional brokerage firm

While reorganizing its in-branch operations functions, our client conducted a proficiency audit. The Chief Operations Officer was dismayed to discover that various updated compliance procedures were unevenly used and in some locations, updates were completely overlooked.

We developed an Annual Compliance Update certification program for branch management, administration and operations personnel. Using a combination of print materials, simulation exercises, and on-line case studies, we created a battery of certification devices that could be accessed by the organization “on demand” for incumbents, new hires and functional groups, as necessary. On-line certification was required annually for specified employees.
In addition, we rewrote the Compliance Manual for the firm, incorporating all existing compliance updates. The new manual was then made available via the organization’s intranet.

The firm reported a reduction in regulatory fines in the subsequent year. We were asked to maintain the new on-line manual on an on-going basis, including annual updates to all certification materials.