Logo, Compliance Sherpa, LLC - Compliance Programs

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

Effective Regulatory Compliance Programs


Two Consultants - Compliance Consulting
When you work with Compliance Sherpa, you'll enjoy the knowledge, expertise, and support it takes to create effective regulatory compliance programs for your financial services business. We have a broad base of contacts throughout the industry, and have earned our reputation for building strong, supportive relationships with the senior management of broker dealers and investment advisories. Our goal is to create sound, sustainable compliance programs. This will enable your firm to operate within regulatory mandates, expectations, and "best practice" guidelines, and we'll provide the knowledge, expertise, and support you need.

Our founder has more than 35 years of experience as a floor trader, company officer, and managing director in compliance and operations. Meeting compliance requirements and having experienced resources available at a moment's notice is always an asset. You may be best served by your compliance department on some issues, while others will require a more flexible approach to regulatory compliance. As specialty consultants, we can meet your external compliance needs by bringing the right balance of expertise, tools, speed, and personal attention at an affordable rate. Here are just some of our service offerings:

  • Conducting SEC/FINRA Mock Audit
  • Performing Operational Risk Due Diligence
  • Developing & Improving Policies & Procedures, Code of Ethics Manual
  • Creating or Testing Your BCP for Disaster Recovery
  • Re-Examining Your Process Flows for Any Efficiency Opportunities
  • Creating An Effective AML Program
  • Structuring a Supervisory Process That Is Tailored to Your Firm's Culture
  • Ensuring Third-Party Providers Maintain Controls Consistent with Your Expectations & Mandates
  • Aligning Your Infrastructure to Suit Your Business Needs


Contact us to learn more about our work and how we can help you build reliable regulatory compliance programs.