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| About cMAX: Unique combination of services & technologies. |
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ComplianceMAX Financial Corporation is a regulatory compliance company that provides consulting services and technology to firms in the financial services industry. Our mission is to provide the industry's most innovative compliance solutions while achieving and maintaining the highest levels of customer satisfaction.
ComplianceMAX Financial was built from the ground up with one thing in mind, "to maximize the utility of technology while providing superior compliance and regulatory expertise." The founders of ComplianceMAX Financial came together to bridge the gap between technology and regulatory consulting services, to provide the industry with powerful and relevant regulatory technology solutions.
ComplianceMAX Financial offers a full range of technology enabled products and services including audits, forms management, automated surveillance, licensing/registration services, and customized training. This unique combination of services directly addresses the dramatic changes taking place in the financial services industry today.
Why ComplianceMAX?
ComplianceMAX Financial combines the expertise of the nation's leading compliance experts with a powerful technology platform to offer the industry's most comprehensive and advanced regulatory system.
Our compliance programs are designed to provide maximum regulatory oversight without the worry, burden, or overhead associated with traditional compliance programs.
Our People
ComplianceMAX Financial has assembled a team of compliance professionals experienced in the latest regulatory issues and trained in the field with real-world regulatory implementations.
As the guiding force behind your program, our people will demonstrate professionalism, creativity, and expertise that is second to none.
Our Technologies
ComplianceMAX Financial has developed a web-based regulatory workstation designed to simplify your compliance workload. Through a personalized web-portal, you have access to regulatory documentation in one consolidated interface. As new regulatory tasks are assigned to you, or your associated persons, they conveniently appear on a personalized "My Compliance Today" web-page. ComplianceMAX Financial takes the guesswork out of compliance while keeping your firm on track.
Your Peace of Mind
With ComplianceMAX Financial you can rest easy knowing that we are actively monitoring regulation, interpreting rules, and guiding you step-by-step as you chart the course through regulatory waters. At ComplianceMAX Financial, compliance is our business, and your peace of mind is our priority.
Where Compliance and Technology Intersect
ComplianceMAX Financial combines powerful technology with proven compliance strategies to provide broker-dealers, investment advisers, and hedge funds with the industry's most comprehensive regulatory platform.
- Increase the capacity and effectiveness of your compliance department
- Automate the distribution, collection, review and approval of regulatory documentation including forms and training results
- Provide firm-wide centralized reporting of all regulatory documentation and audit results
- Enhance your firm's image by replacing paperwork with a powerful and user-friendly software system
- Increase employee and customer satisfaction by eliminating unnecessary paperwork
- Create significant supervisory, administrative and operational efficiencies
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