FINTRAC Compliance Services
Every one of our FINTRAC compliance services is customized to your brokerage. No two compliance programs are the same because no two brokerages operate the same way.
Compliance Program Build
A complete, audit-ready FINTRAC compliance program tailored to your brokerage. This is the foundation that everything else builds on.
- 90-minute discovery session with your Broker of Record or Compliance Officer
- Completed Brokerage Risk Assessment following FINTRAC’s 6-step methodology
- Customized Compliance Program manual covering all five mandatory pillars
- Complete package of current CREA template forms (client ID, receipt of funds, PEP/HIO, beneficial ownership)
- Compliance Officer appointment letter
- Written training plan documenting who will be trained, when, and on what
- Agent quick-reference guide for day-to-day compliance obligations
- Delivered as a printed FINTRAC-ready binder plus complete digital files
- Review meeting plus up to two rounds of revisions
Live Agent Training
FINTRAC requires that every agent receives compliance training before they deal with clients. We deliver that training for you.
- 2 to 3 hour in-person training session at your brokerage office
- Professional presentation covering all FINTRAC obligations, form completion, suspicious transaction identification, PEP/HIO awareness, and sanctions screening
- Printed handout package for each attending agent
- Signed Certification of Completion for every agent (required by FINTRAC)
- Training records delivered to your Compliance Officer for filing
Standalone Training Video
A professional training video your brokerage owns permanently. Use it for every new agent who joins, indefinitely. No per-agent fees, no recurring costs.
- Scripted and produced training video (under 45 minutes, chaptered for easy navigation)
- Covers all required FINTRAC topics with on-screen form demonstrations
- Companion quiz (10 to 15 questions) to verify agent comprehension
- Training completion log template for your Compliance Officer
- Your brokerage owns the video permanently
Most engagements start with the Compliance Program Build, since it’s the foundation everything else sits on. From there, brokerages typically add Live Agent Training once the program itself is finalized, so every agent is trained against the actual policies you’ll be audited on, not a generic script. The Standalone Training Video works well if you expect ongoing agent turnover and want training ready to go without booking a new session every time someone joins. None of these are locked into a bundle. You can start with just the program build, just the training, or all three, and add our ongoing FINTRAC compliance services once you’re ready to keep the program current year over year.
Ongoing FINTRAC Compliance Services
Compliance isn’t a one-time project. Requirements change, agents change, and FINTRAC expects your program to keep up. These three services keep your compliance program current without rebuilding it from scratch every time something shifts.
Biennial Effectiveness Review
FINTRAC requires a formal review of your compliance program every two years. We conduct the review, audit sample files, interview agents, document findings, and update your program and risk assessment.
Regulatory Update Support
When FINTRAC regulations change (as they did in October 2025 and March 2026), we update your compliance program to reflect the new requirements.
New Agent Onboarding
Ensure every new agent who joins your brokerage receives proper FINTRAC training before they start transacting.