Dziura Compliance Consulting, LLC

Dziura Compliance Consulting, LLC is a boutique consulting firm that specializes in providing comprehensive compliance services to the financial industry. Founded by Adam Dziura, the firm leverages deep industry expertise to assist broker-dealers and investment advisers in navigating the complex regulatory landscape of entities like the SEC and FINRA. Their services include handling FINRA New Member Applications (NMA), conducting annual compliance reviews, developing and implementing Written Supervisory Procedures (WSPs), performing mock regulatory exams, and offering ongoing compliance support to ensure their clients meet all regulatory obligations efficiently and effectively.