All Compliance Consulting and Regulatory Support Firms are Not the Same

 

RND Resources, Inc. works hard to prove that compliance can run more efficiently by automating and integrating processes. Doing so, allows firms to grow without being held back by compliance capability restrictions.

      Part of the work we do at RND includes supporting small independent firms or providing compliance partners expertise on a specific matter. We’re able to do this because we have a team of veteran FINRA specialists and FINRA experienced examiners who work closely to identify customized solutions. We find outside of the box solutions that allow firms to prosper and grow without being held back by regulatory demands.

 

Sentry Software for Compliance Management      Some clients have in-house compliance departments that are over-whelmed with too many reviews and procedure or policy changes. They have a difficult time keeping up the workload. Unable to respond and quickly handle the needs of the firm, they hold the firm back from growth strategy.  In this case RND Resources is able to provide much needed support and guidance. So, the limitations of the compliance department are no longer a limiting factor to the firm’s success. Our services are scalable. We grow with each firm, keeping them in focus and up to date at all times. At the same time, our experts provide the guidance needed to successfully introduce and manage new program offers.

 

      To further improve our commitment to efficiency and transparency we’ve added Sentry, a software-as-a-service, for our clients. Sentry provides clients with access to our proprietary checklists and processes in a seamless, integrated, software solution.  By combining Sentry with our support team, firms are given greater flexibility to track regulatory data and run up-to-the-minute audits.  Improved response rate and accuracy are just a few of the benefits of the Sentry solution.

Read more about Sentry: www.finracompliance.com/sentry  

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