Compliance Training Products and Services


As the old saying goes, “
An ounce of prevention is worth a pound of cure.”  When it comes to compliance, this is unquestionably true.  Most compliance violations result from employee ignorance – not malicious intent. 

Wondering where to start?  Ann Buffie & Associates can help.  We offer a variety of training programs to help your company’s staff and sales force stay abreast of best practices and stay out of the negative publicity limelight.  Take a look at some of the options we offer, and note that we customize each program to meet your needs:   

  • Annual Compliance Meetings – To help you meet this regulatory requirement, we deliver customized training on a variety of topics. 

  • Bank Broker/Dealer Special Issues – As you likely already know, special requirements govern how you sell financial products and services in a bank setting.  We can train your staff on the ins and outs of such compliance topics as language, processes, and product positioning.

  • Branch Office/Office of Supervisory Jurisdiction Record-Keeping Requirements – Whether you need assistance with training on an established program or  developing one, we’re here to help bring your supervisory and sales staff up to speed.  From branch office and OSJ inspections to client file content, we know what needs to be covered. 

  • Compliance Department Personnel Training – Whether it’s handling complaints, reviewing trading activity reports, or performing office inspections, we’ll show your staff how to efficiently and effectively do the job. 

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