Your Guide To Compliance
Tailored compliance and financial solutions for broker-dealers and investment advisers
Looking for Compliance Information?
10+ Years
Successfully serving broker-dealers and investment advisers.
100+ Years
Combined experience as regulators, Chief Compliance Officers, and Chief Financial Officers.
100+ Firms
Provided service by our experts.
Quadrant Regulatory Group
Quadrant, a team of senior compliance consultants who specialize in providing bespoke compliance consulting services to broker-dealers and registered investment advisers. We are experts in helping financial services firms develop and implement a compliance program tailored to their needs. We understand the importance of a sound compliance culture, and our team is dedicated to assisting you in achieving this goal. Quadrant’s experts will assist you with navigating the complex world of compliance. We offer our services on an hourly, project, or ongoing basis, and here to support you every step of the way.
Broker-Dealers and RIAs
We help broker-dealers and registered investment advisers from small to large firms and depending on your needs. We are able to work with firms with only one compliance officer and firms with a whole compliance team. We provide Written Supervisory Procedures, CRD administration, regulatory examination management, annual testing, and special projects.
Compliance Expertise
As former regulators in the financial marketplace, we have a deep understanding of the compliance challenges businesses like yours face. Our regulatory experience has given us a unique perspective on what regulators are looking for, without distorting our understanding of how businesses should be run. With the help of our industry professionals, we have successfully managed numerous regulatory examinations and are dedicated to helping you achieve compliance with the rules and regulations set forth by all applicable regulatory bodies. Trust in our expertise and understanding as we guide you through the complexities of the financial marketplace, ensuring that your business operates in compliance.
Our People
Industry Insights
Navigating the complex world of regulatory compliance can be a daunting task for any organization. Read how our team of experienced compliance and accounting professionals, and former SEC and FINRA regulators, provide insight and clarity on this fast-paced industry.
