Compliance Liaisons
Whether you are communicating with clients, prospects, employees or the community at large, protecting yourself and your firm from compliance liability is crucial. At First Clearing, we are committed to our firms’ security—and have fostered a strong compliance and risk management environment that extends far beyond the traditional technology-based tools. Under our Chief Risk & Quality Officer, a team of Compliance Liaisons with over 60 years of combined experience work to support firms with the latest information on regulations and rulings. Our Compliance Liaisons leverage intelligence from Wells Fargo and industry-wide data to help you adopt best practices that address today’s compliance requirements while anticipating future changes.
Your Compliance Liaison will support you with:
- Open communication regarding pending and existing regulations.
- Thoughtful discussions during your regulatory examinations.
- One-on-one insight from additional subject matter experts, when needed.
Additionally, in keeping with our commitment to sharing Compliance and Risk Management intelligence, we deliver:
- Quarterly compliance symposiums where industry experts discuss regulatory developments.
- Compliance Roundtable meetings where firms are able to meet, network and exchange ideas with each other, as well as regulators and other senior compliance professionals.
- A quarterly newsletter - Compliance Digest - covering newsworthy compliance and regulatory matters.