Financial industry giant Merrill Lynch has the funding and capability to use any technology platform on the market to manage their books and records. They should have the best technology and compliance processes money can buy, right? Not so fast.…
Regulation of the financial services industry can be quite tedious, labor-intensive, and burdensome. We’re not telling you anything you don’t already know. One thing that makes regulatory compliance tedious is its cyclical nature and the fact that we must continue…
As the chief compliance officer in your organization, you have the opportunity to take your team from contributors to leaders. It’s all in the way you choose to approach your role and the way you position your team within the organization. We’ve outlined four key…
In their featured article about Cathy’s leadership at Red Oak, they highlighted her compliance expertise alongside her commitment to building and mentoring her employee teams. Among her many responsibilities, Cathy oversees software implementations and compliance consulting for Red Oak. Her teams focus on building the…
2020 was a year unlike any other, as we worked through the impact of the COVID pandemic, shutdowns, and sheltering in place. With everyone trying to resume life as normal while still facing the challenges of remote work and staffing concerns,…
Red Oak Compliance Solutions, a leader in advertising compliance technology for the financial services industry, recently hired Michael Davis as Assistant Vice President of Implementations. In Michael’s new role, he will be responsible for working with Red Oak clients as…