Compliance Support Services

Where the financial institution employs five personsĀ or less, the employee who occupies the most senior position,
shall be the Compliance Officer.

Of course if the most senior person is also the manager, this potentially creates a lot of pressure on this employee as their managerial responsibility already occupies most, if not all of their time.

We can help, we will provide you with the service of an entire Compliance Department for a small monthly retainer.