The Associated Securities Corp. Compliance Department is committed to helping Associated Advisors protect both their businesses and their clients in an increasingly regulated environment. They work in partnership with Advisors to help ensure that all investment activities comply with all federal and state securities laws, as well as the rules and regulations of the various regulatory organizations that safeguard individual investors.

In addition to conducting an annual on-site compliance review of OSJ Branch Offices, the Associated Securities compliance professionals are available to talk with OSJ managers and representatives and support staff. They provide the field with an accessible and business-friendly source of guidance, ongoing compliance education, help in developing compliant marketing and sales tools, and up-to-date information on regulatory developments.

Other Compliance support includes: anti-money laundering; cash/non-cash compensation; complaints; correspondence/advertising review; books and records; FINRA registration/licensing; outside business activities review; state insurance appointments; and regulatory updates.