At WestStar we see ourselves as compliance shepherds.

Our compliance team assists you in navigating industry compliance and guides you in running an efficient operation. Whether it’s dotting I’s and crossing T’s or building your compliance practices from the ground up, our support and training include helping you design and implement processes to be safe and prepared for compliance audits.

We provide continued education on regulations and policies that apply to your day-to-day job responsibilities. Our quarterly updates and best-practices training with our compliance experts help keep you apprised of changes.

We also help resolve issues whenever they arise with the Broker-Dealer or industry compliance.

“WestStar has brought us many new resources and professional relationships that we value greatly: Anshu Thakur (COO, OSJ Manager) is at the top of that list.  We feel very supported especially at a time when so much is changing from a compliance perspective. It’s comforting to have an advocate that I know has my back and will do whatever is needed to help me.  She has taken the time to learn about my team and my practice and she’s always calm, patient, and thorough, but most of all, kind.”

James Menezes, Vice President, Senior Wealth Manager, PBC Insurance