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Regulatory Intelligence Services & Compliance Consultants

Through our local and international connections, we are able to access a significant array of professionals to customize and service your needs.

PROVIDING INSIGHT & SERVICES TO FACILITATE YOUR FIRM’S TRAJECTORY

We are highly involved with key players in the Miami Financial market, constantly dealing with regulators and legal experts, allowing us to provide a high-level perspective on the trends of the industry. We use these trends to find or create resources that our clients rely on to distinguish themselves in their professions.

OUR RECIPE FOR SUCCESS

We are passionately focused on the development and success of our clients. We are direct, transparent, and available when you need us. This is our simple recipe.

SERVICES

Comprehensive regulatory, compliance, and operational support for BDs and RIAs

Meet industry requirements with confidence.

Formation & Ongoing Support

Helping you establish and maintain a compliant, well-structured firm.

Broker-Dealer & RIA Formation: Full-service setup, registration, and compliance integration.
Ongoing Advisory Services: Continued operational and compliance support to ensure regulatory alignment.
Enhanced Due Diligence (EDD) Reports: Deep-dive risk assessments for onboarding and ongoing monitoring.
Regulatory Audits & Exams: Pre-exam readiness, mock audits, and direct support for SEC, FINRA, and state exams.

Comprehensive Compliance & Regulatory Support

Ensuring your firm remains compliant and operates seamlessly.

Regulatory Compliance: Ongoing guidance for BDs and RIAs, including policy development and implementation.
AML & Supervision: Robust anti-money laundering (AML) programs, trade surveillance, and supervisory procedures.
Cybersecurity & Data Protection: Risk assessments, cybersecurity frameworks, and SEC/FINRA compliance.
Legal & Regulatory Filings: Support for regulatory disclosures, enforcement responses, and licensing requirements.
FinOP & Accounting: Financial reporting, net capital calculations, and regulatory accounting expertise.

Specialized & Ad-Hoc Services

Custom solutions for complex regulatory and operational needs.

Regulatory-Required Consulting Assignments: Support for consultants required by regulators for periodic oversight.
Foreign Finder Expertise: Assistance with compliance processes, required forms, and controls.
Custom Compliance & Risk Solutions: Tailored projects based on your firm’s unique needs.

OUR FOCUS IS ON YOU

We do not prospect new clients.

Any growth occurs by referrals.

www.risccompass.com

RISC Compass. Do more.

Automate | Organize | Take Control

with RISC's Proprietary Compliance Software

RISC Compass provides you with 24/7 access, on any computer, tablet or phone, to a clear overview of pending or escalated items, automations, workflows, reports + a library of internal forms that use e-signature making it “paperless” for our clients & their reps.