JFB Associates Regulatory Compliance LLC

experienced and assisting in the following areas: • conducting mock market conduct exams • verifying remedial actions / corrective measures • regulatory relationships • corporate governance • process improvements • validate underwriting documentation & decisions • auditing for compliance with regulatory changes • assisting in ongoing market conduct exams • mentoring and preparing staff to lead compliance efforts and compliance departments • and more... also available as an outsourced chief compliance officer and board member. industry best practices are included when conducting reviews or audits.