Customized, specific training for your firm’s CCO, compliance and business staff is part of every one of our services — it’s a comprehensive but invaluable difference between us and other consulting firms. This close collaboration with our clients, combined with regular and thorough communication, helps them improve their core competencies while achieving compliance at the same time. If you’re looking for custom designed formal training, we can do that too.
We routinely perform Annual Compliance Training for our clients. Training focuses on those areas of your compliance program that touch your employees on a regular basis. In addition, we often perform specialized training for specific business units that need regulatory education.
New regulations are often now requiring a training component for staff. The requirements are typically for annual training on a specific regulatory area. Our training programs ensure that those areas are covered and can be encapsulated within your Annual Compliance Training.
Every training session is led by an industry expert at FrontLine Compliance that is an accomplished presenter so that your staff has a professional training experience.
Our customized training services include:
- Web-based platform that includes recorded presentations, reporting, and employee reminders, as well as transcripts for the hearing-impaired
- Presentations include Founder and President Amy Lynch as moderator and select FrontLine Compliance experts
- Topics are customized by firm business model, regulatory hot topics, and high-risk areas
- All training presentations include an employee quiz to test employee knowledge and participation
- Annual Compliance Training for Rule 206(4)-7 or Rule 38a-1 compliance
- Ethics Training under NFA Rule 2-9
- AML training as required by new regulations or operational jurisdiction
- Training on newly finalized rules and regulations prior to their compliance date
- Training for newly registered firms and their employees
- All required documentation in accordance with Rule 204-2 of the Advisers Act
FrontLine Compliance is your partner in training to help you prove your firm is in compliance and meeting its regulatory requirements.