ComplianceQuest Partners, LLC provides compliance and related management consulting and services to the insurance and securities industry. ComplianceQuest specializes in helping clients identify and mitigate compliance and ethics risk, and build top quality compliance and ethics programs and processes.

Special areas of expertise include:

• Industry Best Practices
• Compliance Risk Mapping and Risk Assessment
• Compliance Management Information
• Compliance Audits: Branch and OSJ *
• Anti-Money Laundering Program Assessment and Design
• IMSA Independent Assessments
• 3012/13 Assessments *
• Records Management Compliance
• NASD Mandated Consulting
• Red Flag Reports
• New Business Compliance Processes and Suitability Processes
• Compliance and Sales Ethics Training
• Brokerage Compliance
• Investment Advisory Compliance
• Compliance Department Structure and Functions
• Temporary Compliance Staff for a Range of Compliance Functions