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