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