Ø Assist clients with registration as a CPO , CTA and IB Registration of personnel as principals and/or associated persons Develop written supervisory procedures, and a customized Compliance program. Assess annual and quarterly NFA obligations and other specific compliance needs Train personnel on regulatory framework, providing insight concerning NFA inspection preparedness Serve as the ORS security manager Compliance program annual reviews Mock NFA exams Assist the Firm with the NFA self-exam questionnaire reviews NFA examination support Promotional material review Compliance and ethics train