PartnerProgram Broker-Dealer


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Expert Compliance Support

Learn more about our PartnerProgram by downloading our services comparison chart and overview.

Our Broker-Dealer PartnerProgram provides many options for continuous support of your firm’s compliance obligations and needs. Designed by compliance professionals and tailored to each firm to help fulfill the ongoing compliance obligations of broker-dealers, each level of support has a dedicated account manager who will work in close conjunction with you to meet your compliance needs in a customized and proactive way.

PartnerProgram Elite

Enjoy the peace of mind that comes with a comprehensive compliance services. Based on an in-depth compliance assessment of your firm’s compliance program, Regulatory Compliance will design a customized PartnerElite service package that focuses on your firm’s specific compliance needs. From helping to guide your firm through various rule changes and the implications, to managing, advising on, and performing many of the day-to-day compliance functions, we’ve got you covered. As your FINRA Chaperone, you will receive hands-on support through a FINRA examination. This program is designed for firms who prefer to outsource much of the compliance function, while receiving full attention from our account managers. We will perform mock examination and compliance visits regularly. For PartnerElite clients, we do the heavy lifting, perform periodic testing, and maintain documentation while keeping you informed regarding important compliance matters. As you focus on growing your business, know that we’re committed to ensuring your firm stays on top of its regulatory obligation.

PartnerProgram Plus

Our PartnerPlus program allows you to proactively address your firm’s compliance needs, allowing your focus to be on meeting your clients’ needs and your business. Our compliance experts act as your compliance back office to proactively address your firm’s compliance obligations. An initial onsite visit will kick off the program, where your account manager will sit with you and help determine your needs, and from that develop a fully customized program for you. Beyond just making sure you meet filing deadlines and have up-to-date compliance manuals, we work strategically to keep you on top of your compliance obligations. The PartnerPlus services are fully customizable to your firm’s particular compliance needs. You always have ready access to your personalized team of compliance experts for answers to your questions. PartnerPlus gives you a trusted and experienced compliance partner that you can count on, while you focus on business.

PartnerProgram Pro

If you’re spending time meeting your firm’s compliance obligations, then you’re using time that could be better spent on building or managing your business. PartnerPro gives you back the time to focus on what you do best, while our compliance experts do what they do best: keeping your firm in compliance. We help your firm stay on top of regulatory requirements — from keeping your compliance manuals up-to-date to alerting you to regulatory changes and filing deadlines. You also get direct access to our compliance experts for answers to your questions, and peace of mind that your compliance needs are covered.

PartnerProgram Express

Ensuring your compliance and procedures manuals are up-to-date should be a key focus of your broker-dealer compliance program. PartnerExpress is a cost-effective first step toward compliance, providing you with customized compliance manuals — from initial customization to updates that meet all regulatory requirements and reflect your firm’s business. You also have access to knowledgeable consultants who are available to answer your compliance questions, giving you a valuable and respected partner in compliance.