Cost Effective Compliance Solutions for Broker-Dealers and Investment Advisors


Cost Effective Solutions to Your Compliance Questions and Needs

The services provided by Spotlight Compliance Solutions don’t come pre-packaged. This is not a one-size-fits-all industry.

Virtually all of our client relationships begin with a no-obligation consultation to discuss what your compliance program needs currently are, both now and in the future. After our relationship evolves, we will anticipate what you need to make your job simpler, but right from the start we’ll be available to complete compliance work that the regulators demand and that you may not have the time or expertise to manage effectively.

The following services only briefly describe the compliance work we do. It’s not until we meet that we’ll understand your financial firm’s specific needs and be able to customize an annual compliance program.

  • Written  Supervisory Procedures Code of Ethics,  Anti-Money Laundering , Compliance Policies
  • Regulatory Responses to Inquiries
  • E-Mail  and Social Media Surveillance
  • Outside Brokerage Account Review
  • Advertising Review
  • Independent  Anti-Money Laundering  Testing
  • Business Continuity Plans
  • Compliance Program Assessment/Annual Review 3012-3130
  • Compliance Training
  • Firm registrations – WEB CRD Service Bureau
  • Mock Regulatory Exams, Annual Branch Office Audits
  • Privacy Policy and Procedures, Social Media Policies and Procedures
  • Registration Renewals and FINRA Contact System  Annual  Reviews
  • Annual Compliance Meetings
  • Financial Operations Principal
  • Firm Element Continuing Education
  • State Registrations
  • New Member Applications/ Continuing Membership Applications
  • Investment Advisory Compliance Solutions
  • Municipal Advisor Registration :  Form MA and Form MA-I

Follow Spotlight Compliance on:

  • Facebook
  • Twitter
  • Linkedin

Contact Us Today:

Office: 732-242-4018
Cell 973-769-6253