Logo, Compliance Sherpa, LLC - Compliance Programs

(888) 985-7872
11 Sterling Hill Road, Lyme, CT 06371

Trusted Compliance Consulting


Failure to comply with regulations can cost you a great deal of money. Save yourself the time and headache by choosing Compliance Sherpa in Lyme, Connecticut to help you understand regulatory compliance, and to design customized compliance programs to meet your needs.
Woman - Compliance Consulting

Proudly Serving the United States of America, Primarily Connecticut, New York, Massachusetts & Pennsylvania
 National Society of Compliance Professionals
Regulatory Compliance Association

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Who We Are

Backed by more than 35 years of experience, Compliance Sherpa is a Lyme, Connecticut, based compliance consulting firm for broker dealers, investment advisories, hedge funds, and alternative investment advisers. Our flexible team takes the time to learn your business so that we can create customized, effective compliance programs to meet your needs. As a small business, we ensure that each client receives personal attention from our staff, ensuring that all of your goals are met, and that your compliance program fits your business perfectly.

Learn More About Our Founder

Contact us in Lyme, Connecticut, and take advantage of our knowledgeable compliance consulting services.
Committee of European Securities Regulators
Federal Reserve Board
Financial Services Authority
Office of the Comptroller of the Currency
Securities and Exchange Commission
Society for Worldwide Interbank Financial Telecommunications (SWIFT)
American Bankers Association