Doing More With Less: Challenges of a Small Firm Compliance Department

Accreditation Wreath Icon AL
All Courses Available iOS/Android Web

All Courses Available iOS/Android Web

About This Course

This CLE course will explain how to mitigate regulatory risk while simultaneously fulfilling your duties as officers of the firm. The course will explain how to create a fiscally responsible compliance program and how to ensure commitment to its policies.

Presented by FINRA staff and industry practitioners, the course will explain both how to assess and avoid potential risk situations as well as allocate resources for the establishment of a compliance program. The course will cover issues such as risk, cost and need, non-compliance expenses budget, researching vendors and other resources including experienced compliance professionals.

Decorative Arc

United Makes CLE Easy

A puzzle in a hand


Select Course Package

  • Unlimited CLE

    Enables you to fulfill multiple CLE cycles with one purchase.

  • One-Stop Bundles

    Our most popular courses bundled to save you time and money.

  • Build-A-Bundle

    Select the courses that interest you most while taking advantage of our bundle discount.

A clipboard with a checklist


Immediate Access to CLE Courses

Courses are available immediately upon checkout. You will have 24/7 access to your purchased courses during the lifetime of your subscription.

Courses can be started, stopped, and paused at any time.

A certificate


Instantly Print Your Certificate

You can immediately print your CLE certificate upon completion of a course.

A copy of your certificate will remain in your account and will always be accessible to you.

Decorative Arc

Want Different Options?

For a custom suite of courses, our custom CLE option satisfies your CLE cycle requirements in one easy step.

Customize OptionsRight ArrowCustomize Options