About Core Compliance

Who We Are

Whether you're building, growing, or enhancing your firm, you need a passionate and dedicated compliance team working behind the scenes that can continuously empower and support your success.

At Core Compliance & Legal Services, Inc.℠ (“Core Compliance”), we assist registered investment advisers, broker-dealers, advisers to private funds, advisers to investment companies, and financial professionals to ensure they are meeting the complex regulations that heavily impact their business. From a firm’s initial registration to internal control development, enhancement, and ongoing maintenance, we help our clients oversee and strengthen their compliance programs.

We have a genuine passion for the work we do. Our years of in-house and regulatory experience have taught us the importance of designing ongoing compliance consulting solutions tailored to fit your overall business needs. We offer a high-touch, human-centered approach, with practical compliance solutions that support a firm’s growth and longevity. As a team, we collaborate to understand the inner workings of your business, apply our in-depth understanding of industry regulations, and partner with you to ensure that the foundation of your compliance program aligns with your firm’s business practices, unique goals, and growth trajectory.

Our Values

The Core Compliance Difference

Collaboration & Customization

Our team partners with clients to provide effective compliance solutions, customized to fit their specific business models.

Passion & Dedication

We work tirelessly to provide powerful, innovative solutions for our clients and are committed to supporting their business growth.

Experience & Thought Leadership

With over 100 years of combined experience in the compliance field, we serve as thought leaders—publishing articles, speaking at industry conferences, and serving as experts to various compliance publications.

“Our goal is to be an extension of your compliance team and provide support, guidance and mentoring as you continue to grow your business.”

Janice Powell, IACCP ®, Senior Compliance Consultant

Dedicated to Supporting the Strength of Your Compliance Program