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