Sophisticated Compliance Support

Compliance is a hot topic in the finance world and naturally being such a complex topic, it’s a concern to many advisers. That’s why we’ve got a team of people here to help with the heavy lifting.

The Finsure compliance team are well versed in how and when to audit. We review periodically as well as in targeted instances when we’re alerted by lenders, BDMs or other sources. This helps businesses working with us to better meet their compliance obligations.

When onboarding with Finsure, we make sure every adviser knows their obligations. This includes policies, procedures as well as being kept up to date with any new developments in the compliance space.

When customer files are added into our CRM, we are aware of instances of incomplete or insufficient files. Through semi monthly reporting, our team can alert the adviser who submitted the paperwork that there is an issue.

Keen to learn more about the service? Fill out the form and our team will be in touch.