The single most predictive attribute of a compliance provider; experience.
Compliance solutions built for the unique conditions of your business and to fit your culture.
From multinational Fortune 500 companies to uniquely specialized firms, we have a proven history of designing customized compliance programs that are specifically tailored to your unique business model, risk profile, culture and resources. We offer an array of customized compliance solutions designed to assist firms navigate an ever-changing regulatory landscape.
As former regulators, Chief Compliance Officers and financial industry professionals, our consultants come armed with a deep appreciation of business challenges and industry best practices. We are able to quickly adapt to your needs by providing short-term, long-term or project based services that are tailored to your firm’s unique position in the market.
Customized Compliance Consulting
Broker-Dealer Compliance Consultants - Designed by former regulators and Chief Compliance Officers, we provide highly customized FINRA compliance consulting services to elevate your unique business goals and illuminate your SEC compliance opportunities.
Municipal Advisor Compliance Consultants - We are the outsourced compliance department for small, medium and large municipal advisors. We assist in building and maintaining customized municipal advisor compliance programs and supervisory systems that are tailored to your culture, resources and needs. Learn more about municipal advisor rule regulations.
Crowdfunding Compliance Consultants - Providing accretive compliance consulting services since Regulation Crowdfunding (Reg CF) was enacted, we assist Funding Portals in obtaining FINRA membership and maintaining compliance with FINRA rules & SEC crowdfunding regulations.
Anti-Money Laundering (AML) Compliance Consultants - Our former Chief Anti-Money Laundering Officers and CAMS® certified compliance consultants can assist you in addressing your AML compliance and independent AML audit needs as well as provide you with crisis management and ongoing KYC, AML and BSA compliance support services.
