The SEC-FINRA COMPLIANCE Consulting Group is a dynamic group of experienced legal, regulatory, and compliance professionals whose collective expertise extends to all sectors of the financial services industry and includes former senior regulators, legal and compliance, and operations officers, and successful businessmen and women. We offer a broad array of compliance and operational risk management products and customized consulting services for broker-dealers, registered investment advisers, hedge funds/private fund advisers, insurance companies, and banks. Our consultants also work closely with attorneys and law firms, providing expert analysis and testimony.
SFC has offices in the New York metropolitan area and Florida, and has consultants located throughout the United States. If you feel your background and experience would help us deliver the high caliber products and services we offer, and you would like to become part of the SFC team, please provide the information below and submit a copy of your resume.
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