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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:
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