Navigate Regulation.
Drive Innovation.
Frontier Compliance provides comprehensive, technology-forward consulting for SEC Registered Investment Advisers, FINRA Broker-Dealers, and Private Funds. From firm formation and regulatory registrations to annual reviews, compliance testing, and outsourced AML programs, we deliver practical solutions that help firms operate confidently and efficiently.
In today's evolving regulatory environment, successful financial firms need more than compliance support—they need a strategic partner who understands how regulation, operations, and technology work together. Frontier Compliance combines deep industry expertise with innovative technology solutions to help firms streamline processes, strengthen compliance programs, and build scalable infrastructures for growth.
What Sets Us Apart
Helping Financial Services Firms Navigate Compliance With Confidence.
Decades of Combined Experience
Decades of combined SEC & FINRA regulatory and industry experience.
Bilingual Expertise
English and Spanish-speaking professionals serving U.S. and Latin American clients.
Trusted Industry Partner
Trusted by startups, growing firms, and established financial organizations.
Tailored Solutions
Customized, cost-effective compliance solutions designed around your business needs.
Core Services
Practical, technology-forward compliance solutions built around how your firm actually operates.
Registered Investment Adviser & Broker-Dealer Formation
Helping firms navigate SEC registration, FINRA membership applications, regulatory filings, and operational infrastructure from startup through launch.
View Details →Annual & Outsourced Testing
Independent AML testing, FINRA supervisory control testing, compliance reviews, and risk-based assessments designed to strengthen your compliance program.
View Details →Anti-Money Laundering (AML)
Comprehensive AML support, including program development, independent testing, CIP/KYC reviews, risk assessments, training, and ongoing advisory services.
View Details →Project & Exam Support
Preparation for SEC and FINRA examinations, mock exams, remediation assistance, regulatory response support, and gap assessments.
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Why Frontier Compliance?
Experience & Integrity
Our team comprises financial professionals with long careers in SEC and FINRA regulated operations, including former compliance officers who understand both the regulatory expectations and your business realities.
Customized, Cost-Effective Solutions
We offer specialized solutions that allow our clients to focus on business growth while remaining compliant within ever-changing regulatory landscapes.
Bilingual & Cross-Border Expertise
Our team is bilingual in Spanish and currently works with U.S. and Latin American-based clients, helping you navigate cross-border regulatory considerations seamlessly.
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Delivering Compliance Solutions That Drive Growth
At Frontier Compliance, we partner with financial firms to navigate complex regulatory requirements while supporting long-term business growth. From SEC and FINRA registrations to outsourced AML programs, annual compliance testing, and regulatory examination support, our work reflects a commitment to practical solutions, operational excellence, and regulatory integrity. Every engagement is tailored to help investment advisers, broker-dealers, private funds, and financial institutions remain compliant, efficient, and prepared for the evolving regulatory landscape.
Startup Financing Success
Our team worked with an established company to streamline operations, reduce costs, and improve overall efficiency.
Operational Optimization
Strategy Implementation
Our Compliance Professionals
Experienced compliance consultants, AML specialists, regulatory professionals, and financial operations experts supporting broker-dealers, RIAs, fintech firms, and other financial services organizations.
- Former compliance executives and regulatory professionals
- Experience supporting SEC-registered investment advisers and FINRA-member firms
- Expertise in registration, examinations, remediation, and ongoing compliance oversight
- Independent AML testing and risk assessments
- AML program development and enhancement
- KYC, CIP, customer due diligence, and sanctions compliance support
- Regulatory financial reporting and operational compliance support
- Experience with net capital requirements, FOCUS filings, and internal controls
- Assistance with audits and regulatory examinations
- Support for supervisory systems, written supervisory procedures, and compliance reviews
- Regulatory examination preparation and remediation
- Ongoing compliance advisory services for evolving regulatory requirements
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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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All Our Achievements
At Frontier Compliance, we help financial firms navigate regulatory challenges with confidence and clarity. Our tailored compliance solutions are designed to support growth, reduce risk, and meet evolving industry requirements.
Frontier Compliance has helped financial firms strengthen their compliance programs and navigate complex regulatory requirements with confidence. Our expertise supports clients at every stage, from firm formation to ongoing compliance management.
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What Our Clients Say
Hear from the financial firms we’ve helped navigate compliance challenges and achieve regulatory confidence. Our clients value our industry expertise, personalized approach, and commitment to delivering practical solutions that support growth, reduce risk, and ensure long-term success
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Our Pricing Plans
Starter Plan
199
/Per month
- Basic Financial Consultation
- Business Strategy Overview
- Startup Funding Guidance
- Email Support
Professional Plan
299
/Per month
- Detailed Financial Planning
- Market Analysis & Strategy
- Funding & Investment Guidance
- Funding & Investment Guidance
Premium Plan
399
/Per month
- Full Business Consulting Services
- Advanced Financial Planning
- Customized Funding Solutions
- Dedicated Account Manager
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Frequently Asked Question
Have questions about regulatory compliance? We’re here to help. Browse our frequently asked questions to learn more about our compliance services, AML solutions, regulatory registrations, and how Frontier Compliance supports financial firms in achieving long-term success.
What types of firms does Frontier Compliance serve?
We work with SEC Registered Investment Advisers (RIAs), FINRA Broker-Dealers, Private Funds, Family Offices, and other regulated financial institutions.
Do you provide outsourced AML and compliance services?
Yes. We offer outsourced AML support, independent testing, compliance program management, KYC/CIP administration, and ongoing regulatory guidance.
Can Frontier Compliance help with SEC and FINRA registrations?
Absolutely. Our team assists with SEC RIA registrations, FINRA membership applications, compliance infrastructure development, and regulatory examination preparation.
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News & Insights
FINRA Releases 2026 Exam Priorities: Focus on Crypto and AML
A breakdown of key focus areas for broker-dealers this year, including enhanced due diligence for digital assets.
The Ultimate Guide to RIA Annual Compliance Review (SEC Rule 206(4)-7)
A step-by-step checklist for investment advisers to prepare for their annual review, including testing and documentation requirements.
Why Your AML Program Needs Independent Testing (and How to Prepare)
Common deficiencies found during FINRA Rule 3310 tests and how to fix them proactively.
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