Resources and Community

For the financial compliance professionals of Portland, OR

community events

to Connect and Share Best Practices

Online RESOURCES

for Compliance Managers

Shared resources and regulatory updates for more compliant financial service firms

Our members have years of experience managing financial service compliance programs and regularly help each other navigate the complexities of this critical aspect of our industry.

Insights to elevate your compliance program and unlock your practice's potential

Our membership is collaborative and always learning. As the regulatory landscape changes and new issues arise, we are able to share real-world experiences and learn from each other.

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Compliance subjects we routinely discuss

“…including but not limited to”

FinTech & Cybersecurity
Regulatory Updates, FINRA/SEC Focus Items
Business Continuity & Risk Management
Firm Registration & Ongoing Compliance Program Maintenance
KYC, AML, GIPS, ADV, CRS, VDD, XYZ, ...
Other compliance subjects our members have questions about

Our members support the
compliance operations of:

SEC or State Registrants

FINRA Registrants

Financial Planners, Insurance Producers, Vendors, Etc.

Responsible for
financial service compliance
in Portland?