compliance advisory services, llc

Our extensive experience working with independent broker/dealers, registered investment advisers and financial planning boutique operations leaves us uniquely qualified to help with your compliance needs. We offer assistance with audits of the business, anti-money laundering examinations, supervisory controls testing, registrations, compliance manuals, regulatory responses, compliance staff support, templates of various compliance related documents, risk assessment, forensic testing, implementation of best practice procedures, and more. We will customize our services to fit your needs. No one knows better how overwhelming the regulators can make this business. Combine that with cutbacks in both staff and resources and a severe shortage of trained compliance personnel and it’s a recipe for disaster for many firms. We stand ready to assist you to navigate the compliance and regulatory waters.