What Makes Quadrant Different

The Quadrant team is comprised of securities compliance and financial professionals with over seven decades of industry and regulatory experience. All of our employees have worked with one or more regulatory agencies or have served in compliance or financial capacities at financial institutions.

Our experience as former regulators has not distorted our understanding of how business should be run in a financial marketplace, but has given us the ability to know what regulators are looking for and the compliance challenges faced by firms. Our team will work for you, and with you, to achieve compliance with the rules and regulations of all applicable regulatory bodies.

All clients receive the following:

  • Customized Solutions – We analyze the needs of your business, and design a compliance program that addresses your precise needs. Instead of forcing you to change the way you work, we find ways to make compliance fit seamlessly into your business model.
  • Competitive Pricing – It’s our goal to deliver extraordinary compliance consulting services at rates that will accommodate your budget. This will give your firm the ability to obtain expert consulting services without negatively impacting your bottom line.
  • Easily Accessible – We have made customer service a top priority, and we are available to you at a moment’s notice. We differentiate ourselves by establishing a schedule of onsite visits for your firm, and by providing continuous support via telephone and e-mail.


Quadrant begins each engagement by interviewing your management team to develop a list of regulatory requirements specific to your firm. Next, in collaboration with management, we plan and execute strategies to achieve ongoing compliance. We schedule regular onsite visits to conduct reviews and provide feedback. In addition, we provide continuous support to our clients via telephone and email. Further, when warranted, we will visit clients to provide in person, live support. Partnering with Quadrant is equivalent to hiring an expert regulatory compliance team to support your Chief Compliance Officer and Chief Financial Officer.