Outsourced Compliance Officer – Our compliance officers can oversee your entire compliance program, including implementation of policies and procedures, ongoing monitoring and review, and compliance training and education.
Staff Augmentation – Even well-staffed units can find themselves in need of an extra hand. Whether it's an unexpected extended leave of absense, sudden influx of work, or the need for specialized skills, First Consulting can easily and seamlessly step in to fill the gap.
Compliance Practice Review & Process Improvement – Let us help you review your internal practices and processes to help you improve your overall compliance readiness.
Compliance Risk Assessment – Compliance Officers and staff are challenged to implement, measure and reinforce strategies to protect your company’s reputation and bottom line. First Consulting has the expertise to assess your risks at the corporate or process/policy level.
Audits & Mock Market Conduct Exams – Let us help you assess your current level of compliance or determine your rediness for Market Conduct exams in order to avoid fines and maintain good stakeholder relations.
Market Conduct Exam Management & Response – Regulatory exams can be burdensome and strain resources that are charged with other responsibilities. Our experts can help you prepare for and manage an upcoming exam as well as develop action plans to address any findings.
Contact Us to learn more about how we can help you.