Spotlight Compliance Solutions

“spot on” 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 broker-dealer firm needs in financial compliance solutions, both now and in the future.. the following services only briefly describe the compliance work we do. it’s not until we meet that we’ll understand your 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 spotlig