Broker Dealer Compliance

Specialties

Compliance consulting for broker-​dealer and investment adviser wealth manager and fund managers. Includes accounting, FINOP & CCO.

History

Established in 1989.

Stephen J. Sussman, CPA founded Regulatory Compliance, LLC in 1989 to provide broker-​dealer and investment advisers with compliance consulting services worldwide. Our experts are well-​versed in SEC-​regulated accounting procedures, with specific expertise in broker-​dealer accounting practices. Regulatory Compliance is based out of New York, NY, Londonderry, NH and Boston, MA.

Meet the Business Owner

Stephen J.

Business Owner

Mission Statement: A global leader providing compliance consulting and business consulting services in a clear, logical, and business tailored structure to the financial services industry. Our broker-​dealer, registered investment adviser, and hedge fund manager clients are located throughout the United States, Canada, and the UK. Our clientele is representative of all aspects of the financial services field. Some of our larger clients are publicly traded companies that maintain hundreds to thousands of locations. Since 1989, the focus of Regulatory Compliance, LLC has been to assist financial services companies in meeting critical compliance requirements and regulatory filing deadlines. We have garnered industry respect from both clients and regulators by providing years of high quality and knowledgeable service to thousands of firms.