Compliance Risk Management

It’s no secret that the securities industry is rapidly growing and changing. With this expansion and transformation comes additional risk to investors. In response, lawmakers continue to implement new and enhanced regulations. For firms to keep their compliance programs aligned with shifting regulatory requirements and ensure new risk areas are addressed where they apply, firms must continually monitor their business processes through assessments, testing, and reviews. At Core Compliance & Legal Services, Inc. ℠ (“Core Compliance”) our team of former in-house CCOs, state regulators, and compliance professionals have extensive experience in performing risk assessments, annual compliance reviews, and mock regulatory audits, delivered with an unparalleled level of service. We function as an extension of your team, and an invaluable resource for comprehensive compliance wellness checks and direct insight into areas of risk that need to be addressed.

There is no “one-size-fits-all” solution when it comes to compliance. Every client has unique needs that require personalized solutions. Our compliance reviews, assessments, and audits are tailored to fit your business practices. We dedicate our time and expertise to assessing your compliance program, and work with you to implement necessary enhancements so you can focus on the growth of your business without worrying about compliance gaps.

Learn More About Our Customized Compliance Risk Management Services

Core Compliance

can help you with:

  • Risk Assessments
  • Annual Reviews
  • Mock Regulatory Exams
  • Cybersecurity Risk Analyses
  • AML Audits
  • Email Surveillance & Reviews
  • Branch Office Audits
  • Conflict of Interest Reviews
  • And Much More


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Dedicated to Supporting the Strength of Your Compliance Program