• RISC Consultants

    REGULATORY INTELLIGENCE SERVICES & COMPLIANCE CONSULTANTS

    We strive to be a one stop solution for a select group of clients.

    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 to the point, transparent and available when you need us. This is our simple recipe.

Compliance

AML

Supervision

Cybersecurity

Legal

FinOP & Accounting

SERVICES

ADDITIONAL SERVICES:


RISC provides numerous ad-hoc services and projects, such as:

  • Creation of BDs|RIAs, in addition to ongoing support
  • Enhanced Due Diligence Reports
  • Audits
  • FINRA assignment for “not-denied” consultants (those instances a regulator requires you to have Consultant for a year and it provides the regulator with periodic updates to ascertain your “improvement”)
  • Foreign Finder Expertise (forms, process, controls)

OUR FOCUS IS ON YOU

We do not generally prospect new clients. 

Any growth occurs by referrals.

RISC Compass. Do more.

Automate | Organize | Take Control
​with RISC's Proprietary Compliance Software

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

Learn More

Alicia

President

Nick

Director

Farid "Andy"

FinOP & Accounting

Strategic Partners

MEET THE TEAM