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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