Creating written compliance policies and procedures can be daunting and buying them “off the shelf” is often just as cumbersome because you still have to wade through the boilerplate language and customize the document to fit your unique business model. We provide turnkey documents that you can take to your Board for approval and implement with ease.
We take the pain out of that process by customizing policies and procedures for you based on dialogue with Management and business line managers to understand your products and services, internal controls, and workflows specific to your shop. Our policies and procedures are compliant with applicable regulations and designed to streamline workflows and provide practical, effective controls that are not an impediment to business. We then provide turnkey documents that you can take to your Board for approval and implement with ease. We can also assist with the implementation process by providing in-house training to explain the regulatory and policy guidelines and material changes to any processes or workflows.
Sterling Navigator is your go-to resource for compliance news, critical and upcoming deadlines, and items of regulatory focus. Each business-level subscription provides your entire team with monthly updates and bonus tools for just $150 a year.
Consulting & Review
