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Leaders in Regulatory Compliance
Our team is comprised of financial professionals with long careers in SEC and FINRA regulated operations. We combine regulatory experience with operational reality to deliver solutions that work.
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Core Team Differentiators
Decades of combined experience
Chief Compliance Officers, AML Officers, Chief Financial Officers, Chief Executive Officers and financial operations principals.
Hands-on, accessible approach
We are not just consultants; we act as your trusted partner.
Bilingual (English/Spanish)
Currently serving clients across the U.S. and Latin America.
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Meet Our Expert Team
Our team is bilingual in Spanish and currently works with US and Latin American based clients, providing seamless support for cross-border regulatory matters.
Managing Partner
- Former Chief Compliance Officer for a Broker Dealer and RIA.
- Expertise: SEC registration, examination defense, cross-border compliance.
- Languages: English, Spanish.
Director of AML Services
- 15+ years experience conducting independent AML tests for broker-dealers and RIAs.
- Expertise: BSA/AML program design, KYC/CIP, enhanced due diligence, OFAC sanctions.
- AAMS Certification
- Languages: English and Spanish
Financial & Operations Principal (FINOP)
- Series 27 qualified.
- Expertise: FOCUS filings, net capital computations, financial controls, audit support.
- Languages: English and Spanish
Senior Compliance Consultant
- Expertise: Supervisory control testing, WSP drafting, branch examinations, Reg BI compliance.
- Languages: English and Spanish
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