Compliance • Governance • Project Management • Technology

Expertise connected.
Execution built in.

Compliance.Network brings together regulatory expertise, governance, project-management discipline, technology-enabled infrastructure and independent professionals to support organizations as they operate, grow, change and respond.

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Financial-services coreBroker-dealers, investment advisers and additional regulated markets.
Credentialed project disciplinePMP® • PMI-ACP® • PMI-CPMAI™ credentials.
U.S. focused. Internationally executed.Professional capacity and relationships extending beyond the United States.
Capabilities

Built around the work that needs to get done.

Financial services is the established core. Governance, project management, technology and the Network extend how that work can be delivered.

01 — FINANCIAL SERVICES

Compliance & Regulatory

Compliance leadership, supervision, testing, examinations, registrations and business change.

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02 — GOVERNANCE

Governance

Boards, ownership groups, individual professionals, recurring obligations, records and accountability.

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03 — PROJECT MANAGEMENT

Project & Implementation Management

Credentialed delivery support for regulatory, technology and operational initiatives.

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04 — TESTING & REMEDIATION

Exams, Testing & Remediation

Regulatory examination support, independent testing and remediation through closure.

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Featured Capability

Registered Person & IAR Conflict Management

A recurring program for broker-dealers and investment advisers covering Registered Representatives, Investment Adviser Representatives and other covered personnel.

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OBA & Private Securities ActivitiesDisclosure, review, conditions, changes and reassessment.
Outside AccountsApplicable outside-account disclosure and monitoring.
Client & Representative ActivityActivity requiring additional supervisory or conflict review.
Public Records & Background ReviewsPeriodic or event-driven review based on defined risk criteria.
Registration / Disclosure ChangesChanges that may affect registration, disclosure or supervision.
Exceptions & EvidenceReview, escalation, resolution and supervisory evidence.
Identify→Review→Risk-Rate→Condition→Monitor→Escalate→Resolve→Evidence
International Network

U.S. focused. Internationally executed.

U.S. regulatory work and client needs remain at the center, supported by growing professional capacity and business relationships outside the United States.

United States

South Florida

U.S. regulatory expertise, client leadership and financial-services delivery.

Latin America

Argentina

Growing professional capacity supporting engagement execution and project delivery.

Europe

Italy

European connectivity through established reciprocal business relationships.

Project & Implementation Management

Move from complexity to controlled execution.

Project management is both a standalone service and part of the discipline behind how Compliance.Network implements change.

01

Scope

Define the outcome, workstreams and boundaries.

02

Own

Assign accountable people and decisions.

03

Coordinate

Manage dependencies, vendors and deadlines.

04

Escalate

Surface risks and blockers before they surprise leadership.

05

Evidence

Document completion and remaining open items.

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