IAR CE, AML, and Other Training

The complexity of today’s regulatory requirements, compounded by the increased nature of risk, has made compliance training and education a crucial aspect of a firm’s ongoing success.

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IAR CE

Continue Your Compliance Education.

In 2020, the North American Securities Administration Association (NASAA) implemented an IAR continuing education (CE) requirement to ensure its members receive proper and updated training on the securities business relevant to their duties and obligations. COMPLY is an approved continuing education provider, with resources and training materials available to help you complete IAR requirements with ease.

  • Access quality content and courses created by former regulators, compliance consultants, and cybersecurity experts
  • Leverage on-demand course selection
  • Monitor course completion
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Anti-Money Laundering

Up Your AML Knowledge.

FINRA Rule 3310 and the Bank Secrecy Act require that financial institutions, including broker-dealers, implement an Anti-Money Laundering (AML) program with appropriate policies and procedures in place, including a customer identification program. In addition, many investment advisers’ business practices dictate, or their customers require, that they implement an AML program regardless of whether it is required by law. COMPLY’s AML Training offers an affordable and cost-effective method to stay compliant.

  • Educate employees on the latest trends in money laundering and how to detect them
  • Identify trends in the reporting of suspicious activity, the newest schemes used in the placement, layering and integration of money, countries in high‐risk categories
  • Explore case studies highlighting consequences of non-compliance with AML rules and regulations
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Additional Trainings

Cultivate a Culture of Compliance with Custom Training.

Has your annual review or latest regulatory examination identified a compliance issue on which your staff could use additional targeted training? Custom Training programs are developed and conducted by the COMPLY team of expert compliance professionals with decades of experience working as CCOs, lawyers, and regulators.

  • Identify your educational goals and create a custom curriculum that will achieve your compliance objectives and create a culture of compliance
  • Address your firm’s unique needs – from general compliance and code of ethics training to hedge fund solutions and more
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The Latest News and Insights from COMPLY

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Take your training to the next level. Discover the compliance training and resources designed specifically to help your firm navigate regulatory complexities.

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STRAIGHT FROM THE USERS

Client Testimonials

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“The customer service at COMPLY is special. They are all extremely knowledgeable and friendly. I appreciate the team always allows me the opportunity to walk through the product and learn, so I can reduce the times I must reach out again in the future.” – Jackie Jacobs, VSS

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“I love that the company has created a culture that solicits feedback to continually evolve the product to fit the customers’ needs. The support team is incredibly knowledgeable, and it shows!” – David Becker, CFIP

Why COMPLY?

DIRECT BROKER FEEDS

Integrated direct broker feeds from more than 300 brokerage firms and a robust data normalization process provide unrivaled information accuracy and dependability.

DATA INTEROPERABILITY AND APIs

Powerful integration capabilities facilitate data connections between our platform and other industry-leading solutions, enhancing communications, increasing efficiency, and providing a seamless customer experience.

EDUCATION

Decades of regulatory expertise power COMPLY’s premier compliance education programs. With courses designed for CCOs, IARs, and more, COMPLY empowers our clients to elevate their program and their career…raising the standard of regulatory compliance across the industry.

SOLUTION AND SERVICE INNOVATION

Incorporating direct feedback from COMPLY’s portfolio of firms, we continuously implement the enhancements that matter most to our clients. We go beyond technology to offer a breadth of services and solutions designed to meet our clients’ unique needs and challenges, including digital asset trade monitoring, compliance program management, consulting services, compliance education, and more.

REGULATORY EXPERTISE

The COMPLY team is comprised of former CCOs, former regulators, and experienced lawyers. We understand the challenges you face because we’ve been there. Our deep bench of industry expertise – which includes expansive knowledge in technology enablement and regulatory compliance protocols and processes – supports more than 7,000 clients.

AWARD-WINNING CUSTOMER SERVICE

Let us be an extension of your back office and provide support from our dedicated subject matter experts when you need it most. Customer support is available 24/5.

Compliance Training with Confidence

Education and training modules designed by compliance professionals for your firm’s specific needs. Lean into your resources and maintain industry education requirements, with the support of an industry recognized program.

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WITH CONFIDENCE.

FEATURED
Upcoming Events

Register for COMPLY’s upcoming webinars for expert insight into key compliance areas and how to adapt your program to meet new requirements.

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