Founded to meet the complex compliance needs of the financial sector, Compliance Consulting Group, LLC is a specialized firm that assists broker-dealers, registered investment advisers, and private funds. The company focuses on navigating the intricate regulatory landscape set by bodies like the SEC and FINRA. Their services range from initial registration and policy development to ongoing compliance support, annual reviews, mock regulatory audits, and anti-money laundering (AML) independent testing, aiming to provide practical and effective compliance solutions.

Founded in

United States