The seasoned professionals at the SEC-FINRA COMPLIANCE Consulting Group (“SFC”) are experts in the areas of compliance, regulatory and operational risk management, with extensive experience in both the public and private sectors of the financial services industry.
Our mission is to help you and your firm avoid unnecessary SEC and FINRA investigations and regulatory actions by providing and helping your firm implement a comprehensive and thorough compliance program. The SEC-FINRA COMPLIANCE Consulting Group can assist you and your firm by training existing staff members, by placing our consultants in your firm on a part-time or permanent basis, or by becoming your permanent off-site all-inclusive compliance solution firm.
Our clients include registered investment advisers, broker-dealers, law firms, hedge funds/private fund advisers, insurance companies, and banks. We customize our consulting services to address each client’s specific needs in response to its compliance, regulatory auditing, and risk management requirements and responsibilities.
Our clients have discovered the value of augmenting and outsourcing their vital compliance and risk management functions so they can focus on their strategic business objectives with the knowledge and confidence that their compliance, regulatory, and risk management responsibilities are being handled in an extremely efficient, cost-effective, and professional manner.
When cost and competence are of paramount importance to you and your firm, our time-tested infrastructure, unencumbered by a large corporate bureaucracy and exorbitant fees, provides the flexibility and depth of talent and expertise to meet your needs and still stay within your budget.
The SEC-FINRA COMPLIANCE Consulting Group is designed to provide a more client-centric, business model — one that gives you precisely what you need, when you need it. We have offices in the New York metropolitan area and Florida and Consultants located throughout the United States. For more information on the types of compliance, regulatory and risk management products and consulting services we provide and how we can be of assistance to you and your firm, please contact us today, either by telephone at 1.800.SEC.9906 or email, for a free consultation.