Red Oak Compliance Solutions
Lance Huntley has held various compliance roles throughout his career in the securities industry. From serving as a Securities Examiner at FINRA to being the Vice President of Compliance at National Financial Partners, Lance has a wealth of experience in ensuring regulatory adherence. With a Bachelor of Science degree in Finance from Texas State University, Lance founded CLH Compliance, LLC to provide compliance solutions to broker-dealer and investment advisory firms before joining Red Oak Compliance Solutions as the Vice President. Lance has also served as the Chief Compliance Officer at companies such as MicroVentures and Honest Dollar, showcasing his expertise in maintaining policies and procedures to meet industry regulations.
Red Oak Compliance Solutions
Red Oak Compliance Solutions is a leading provider of intelligent compliance software, offering a range of AI-powered solutions designed to help firms of all sizes navigate the increasingly complex regulatory landscape. Our solutions provide risk minimization, process optimization, and the ability to scale with your firm's changing needs. Our suite of 17(a)-4/WORM compliant features are designed to evolve in step with the ever-changing regulatory landscape, ensuring that our clients always stay ahead of the curve. Our flagship advertising review software enables firms to deliver compliant content to the market with confidence. Additional solutions include Disclosure Management, Registration Management, Complaint Management, Branch Exams and more. Red Oak offers various additional tech modules to further automate and increase efficiencies in your compliance process, including periodic attestations, forms review, gifts and non-cash compensation, regulatory inquiry requests, AML/fraud case management, RFP review, and many more. Our Compliance Consultants can also provide additional support for your team when needed. Join the growing number of firms that rely on Red Oak Compliance Solutions to stay ahead of the regulatory curve and experience the benefits of intelligent compliance software for yourself!