In the Press

ENSI was recently ranked 3rd in a nationwide survey of the best third-party marketers as reported in the 2008 Bankers Report Card on Third-Party Marketing Companies, conducted by American Brokerage Consultants. Read the complete article at Bank Investment Consultant.

Compliance Support

Essex National Securities has developed our approach to compliance to be supportive of the traditional goals of any financial institution. That is to provide a comprehensive compliance system in order to minimize reputation risk and regulatory and legal liability.

Compliance program components:

Comprehensive training and support materials
Experienced national compliance staff
Transactional oversight review
Annual field and branch audits and review system
Customer complaint investigation and review
Monthly field compliance calls
Quarterly compliance field visits
OSJ in a Box - supervisory training program

ENSI is monitored by NASD District 1 - San Francisco