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Compliance Consulting

Goldcrest Consulting Services, your Financial & Operations Principal works with leading compliance consultants offering cost effective alternatives to maintaining or developing an in-house compliance staff. We recommend any firm in need of compliance consulting to contact us.

We can help you identify a firm matching your specific needs.

Cost of Broker Dealer Compliance Consulting

Compliance services are offered on a flat rate or per hour basis.

Types of Compliance Consulting Services

Compliance consultants provide the following services:

  • Anti-Money Laundering (AML) Audit and Testing
  • Anti-Money Laundering Procedures
  • Annual Compliance Meeting
  • Business Continuity Preparation and Review
  • Branch Office Inspection
  • CEO Certification Preparation
  • Compliance Procedures and Updates
  • Continuing Education
  • CRD Registrations and Amendments
  • Due Diligence/Product Reviews
  • Disclosures and Attestations
  • Electronic Filings (Form BD, Form BR, Form U4, Form U5)
  • Licensing
  • Liaison with Regulators
  • Mock Regulatory Examinations
  • Privacy Policies
  • Registration
  • Risk Assessment
  • Supervisory Control Assessments – 3120/3130
  • Surveillance
  • Training
  • Written Supervisory Procedures and Policies

We take care of your books for you, so you can get back to the job of running your business and generating profits.
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We offer payroll solutions that meet your business's needs and enable you to spend time doing what you do best--running your company.
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We offer a variety of services to help make sure that you are taking full advantage of Quickbooks' many features.
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We're here to help you resolve your tax problems and put an end to the misery that the IRS can put you through.
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We offer one-on-one guidance and a comprehensive financial plan that helps manage risk, improve performance, and ensure the growth and longevity of your wealth.
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© Goldcrest Consulting Services, LLC 2021