Presenting

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The Compliance Department Inc. Broker Dealer
Compliance Consultants

• Presenting
• The Broker-Dealer Certification Tool

Compliance SCORE Powered by Keane BRMS SCORE
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Compliance SCORE

• A partnership between
• The Keane Organization
• and
• The Compliance Department Inc.

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• The Keane Organization, Inc.
• The Keane Organization provides compliance and
  risk management solutions that help companies
  mitigate regulatory, operational and financial
  threats across the enterprise. Keanes solutions
  allow business leaders to measure, manage and
  monitor those threats in a way that produces
  measurable return on investment. Whether it
  involves regulators, investors, customers,
  employees or vendors, Keanes proprietary
  business methodology allows clients to
  systematically identify risk, create specific
  action plans, and establish personal
  accountability for results.

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• The Compliance Department Inc.
• The Compliance Department Inc provides compliance
  and risk management services to broker-dealers
  and investment advisors to assist in compliance
  with federal and state securities laws.
• www.thecompliancedepartment.com

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• Compliance SCORE was developed to power the
  annual supervisory review required of
  broker-dealers by FINRA rules. The tool allows
  broker-dealers of all sizes and types to conduct
  an ongoing and dynamic review, test, and
  certification of the firms supervisory procedures

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• Compliance SCORE empowers the firm to
• Consistently conduct enterprise-wide risk
  assessments and self audits
• Automatically create detailed action plans to
  address compliance requirements
• Measure performance and ensure accountability for
  results
• Maintain a clearly documented audit trail of
  internal compliance efforts and due diligence.

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• The Compliance SCORE difference
• SCORE Strategic Command of Risk Elements
• SCORE integrates three fundamental principles of
  risk management
• Measurement
• Management
• Monitoring

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• Risk Principle
• Measurement
• SCORE enables thorough, repeatable risk
  assessments to benchmark your situation and
  calculate the scope and cost of your compliance
  requirements.

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• Risk Principle
• Management
• SCORE empowers you to actively review compliance
  levels, establish action plans, and control
  mitigation efforts. By avoiding compliance
  pitfalls, and identifying opportunities you
  minimize risk and increase return on investment.

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• Risk Principle
• Monitoring
• SCORE empowers the user to continually audit,
  analyze, and track the process on a regular basis
  to quantify the results.

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SCORE
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Evaluate your organization Identify your
exposure Access your vulnerabilities

MEASURE
SCORE
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Evaluate your organization Identify your
exposure Access your vulnerabilities

MEASURE
SCORE
MANAGE
Set priorities Mitigate exposure Promote
collaboration and accountability
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Evaluate your organization Identify your
exposure Access your vulnerabilities

MEASURE
SCORE
MANAGE
MONITOR
Set priorities Mitigate exposure Promote
collaboration and accountability
Benchmark results Audit actions Report results
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• SCORE provides an intelligent interface and
  allows real-time service delivery
• SCORE automates the relationships between risk,
  vulnerability, compliance and risk mitigation
  needs and timeline management
• SCOREs flexibility facilitates a collaborative
  environment
• SCORE has historical profiling capabilities which
  allow users to identify and manage long-term
  compliance and risk management goals
• Score is simple to access and use, and displays a
  continuous quick reference summary of your
  compliance and risk at all times

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• Measure, Manage, and Monitor
• Executives define the risk and compliance issues
  they must manage across the organization. A
  simple dashboard view provides real-time risk
  levels, action plans and accountabilities
• Tactical solutions address risks and ROI
  opportunities that exist in specific functional
  areas

Functional Areas
Management
CCO
CEO
COO
Divisional, departmental and process managers can
effectively track risks within their area of
responsibility with a roll-up to the executive
dashboard
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• The next steps
• 1. Contact The Compliance Department Inc. to
  receive your usage agreement and log-ins
• 2. Appoint a primary contact for Compliance
  SCORE.
• 3. Provide a copy of your existing Supervisory
  Control Procedures.
• 4. Make personnel available for training and
  orientation
• 5. Start utilizing the Compliance SCORE tool

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• 88 Inverness Circle East, Suite F-104
• Centennial, Colorado 80112
• 303-339-9870
• 866-903-6760

The Compliance Department Inc. Broker Dealer
Compliance Consultants