James L. Smith

Sr. Compliance Consultant

James Smith

Contact us today for a customized solution.

get started
  • Broker-Dealer, Investment Adviser and Investment Company Compliance
  • Anti-Money Laundering Programs
  • Supervisory Program Development, Testing and Surveillance
  • SEC, FINRA and State Regulatory Examination Assistance
  • Compliance Training and Education
  • Written Supervisory Procedures, Compliance Manuals
  • Risk Management Assessments
  • Cybersecurity Assessments & Training