About Halyard
At Halyard, we believe that there is a better approach to delivering regulatory compliance solutions. A highly personalized and remarkably customized method where clients think of us as part of their team. Clients always work with a senior consultant with relevant expertise and we never hand-off services to junior associates. We are extremely passionate about it, and as former Chief Compliance Officers and Executive Team members it is our mission to effectively deliver it.
In a sea of evolving regulatory requirements, Halyard applies an effective, efficient and practical approach℠ to compliance solutions that focuses on simplifying regulatory compliance and aligning compliance and business goals. Halyard comes armed with a deep understanding and appreciation of the business’s perspective when developing compliance solutions. We are former compliance officers and regulators with hands-on compliance experience in capital markets, trading, sales, operations, accounting, risk management, crowdfunding, municipal advisory, anti-money laundering and more.
Our Services: Leading the Way
Halyard is a leading provider of regulatory compliance consulting services in the financial services industry. We provide an array of highly customized regulatory compliance support services, including annual compliance reviews, AML audits, membership applications, mock audits, AWC independent consultant undertakings, marketing reviews, regulatory filings, ongoing consulting services and much more.
Our Clients: Innovative and Tenacious
Our clients range in size from complex diversified financial service corporations to fintech start-ups and sole proprietors. From multinational institutions to regional firms, we provide outstanding value to industry participates that are typically members of FINRA, MSRB, NFA, IIROC and/or registered with SEC, CFTC and FinCEN.
Our Team: Providing Breadth of Expertise
Halyard has a diverse network of trusted independent consultants and industry relationships that allows us to quickly adapt to your needs. Our team will come armed with a deep appreciation of business challenges and industry best practices. We are able to quickly customize our team as well as our services for your unique business model and position in the market.
Our Partners: Adding Value
Halyard has worked with a number of respected law firms, industry vendors and other industry participants, which allows us to quickly recruit resources to meet your needs, culture and resources as business evolves.
Your Relationship with Halyard
Halyard endeavors to be viewed as a part of your team and as reliable as any trusted inhouse executive team member.
We will work with you to build a trusted relationship to ensure that we can plan ahead and quickly allocate resources as your business demands. We are available for onsite and offsite support upon reasonable request and pride ourselves in thorough and prompt response. Our technology has cybersecurity measures and we have confidentiality provisions in our agreements. We do not engage in unwanted or inflexible long-term contracts, which allows you to become flexible in the event of unforeseen circumstances.
Halyard was founded by Brandon Klerk in 2009. As a former Chief Compliance Officer and FINRA regulator, Mr. Klerk has a broad regulatory compliance background on both the street and regulatory sides of the industry.
On the street side, Mr. Klerk has been an executive team member serving as Chief Compliance Officer and Anti-Money Compliance Officer for investment banks, retail brokerage firms, high-frequency proprietary trading firms, hedge funds, investments advisors, investment companies, insurance companies, NFA members, MSRB members, Canadian IIROC members, British FCA members and more.
On the regulatory side, in prior regulatory roles within FINRA’s Member Regulation Department, Cause Department and Risk Oversight and Operational Regulation (“ROOR”) Department, Mr. Klerk has gained a comprehensive expertise in examining all facets of financial services firms.
In these roles, Mr. Klerk has gained substantial compliance experience in many business lines, including underwriting, capital markets, research, wholesale distribution, institutional sales & trading, proprietary trading, municipal underwriting, public finance, municipal advisory, private placements, crowdfunding & funding portals.
Mr. Klerk has a degree in Business Administration and Finance from Central Michigan University, a professional certification in Financial Planning from Northwestern University, and is a graduate of the FINRA Institute at The Wharton School as well as the Securities Industry Institute® (SII) at The Wharton School, University of Pennsylvania. He has also passed numerous regulatory examinations and maintains various industry designations, including the CRCP®, CFE® and CAMS®.
Mr. Klerk has participated on numerous industry committees, working groups and boards, including those of the National Society of Compliance Professionals (NSCP), the Bond Dealers of America (BDA), the Securities Industry and Financial Markets Association (SIFMA), Charles Schwab Compliance Solutions Advisory Board and more. Additionally, Mr. Klerk is a featured speaker at several industry events, addressing today’s pressing regulatory topics.