Founded by former senior compliance examiners, Top Tier Examination Services (TTES) is a regulatory compliance consulting firm dedicated to assisting financial services firms. The company offers a comprehensive suite of compliance services to entities such as broker-dealers, investment advisers, and private funds. Their core mission is to help clients navigate the complex regulatory landscape by providing expert guidance, conducting mock examinations, performing annual compliance and anti-money laundering (AML) reviews, and developing robust supervisory procedures.

Founded in

United States