Founded in 1989, Compliance Advisers, Inc. is an industry-leading, boutique regulatory compliance consulting firm that specializes in providing Customized Compliance Solutions™ to Broker Dealers, Investment Advisers and Investment Companies throughout the United States. We strive to develop partnerships with each of our Clients using a teamwork approach to provide expert guidance and a full array of solutions customized to help each specific business meet its compliance and regulatory requirements.
Our customized solutions include—
- Comprehensive New Broker Dealer Registration Packages
- Comprehensive Investment Adviser Registration Packages
- Investment Adviser (Rule 206(4)-7) & Investment Company (Rule 38a-1) Annual Reviews
- Investment Adviser Business Continuity and Succession Plans
- Financial & Accounting Services – Financial Principal, FOCUS Reporting, Annual Audit Assistance
- Written Supervisory Procedures & Compliance Manuals, Gap Analyses
- Forensic Tesing, Internal Controls Testing, Mock Audits
- FINRA (NASD) Rule 1017 Continuing Membership Applications
- Annual Compliance Requirements Reminders
- Annual Compliance Meetings Development and Administration
- Continuing Education Programs Development
- AML Compliance Programs, Training & Independent Testing
- General Compliance Consulting
We began with the belief that integrity and trust were the keys to our future success. We were right. Today we still believe in these values, and practice them on every project. Our consultants have an average of more than 25 years experience in the securities/financial services industry and stay abreast of the latest regulatory requirements to keep Compliance Advisers assisting clients in meeting the demanding and sometimes overwhelming regulatory requirements of the financial services industry – from ongoing expert advice and assistance to interim compliance staffing needs.