General Compliance Consulting

NRS is the recognized expert in testing and assessing the adequacy and effectiveness of firms’ compliance efforts. NRS Compliance Consulting helps ensure that compliance programs are ready to meet demanding regulatory challenges. NRS has decades experience providing customized compliance services and solutions to the financial services industry.

Firms benefit from the knowledge and expertise of NRS compliance professionals: a team of former CCOs, legal professionals, and former regulators. As experts in state, federal and SRO regulatory compliance, NRS compliance professionals engage with a firm’s compliance team to identify regulatory requirements, ensure consistent policies and procedures, prepare for regulatory examinations and more.

General Compliance Consulting services are available to you remotely at any time. Our onsite services include:

  • Annual Compliance Program Review
  • Annual Reviews (206 (4)-7, 38a-1)
  • Risk Assessment
  • Due Diligence Review
  • Anti-Money Laundering Audit (FINRA Rule 3310)
  • CEO Certification Review (FINRA Rule 3130)
  • Supervisory Controls Review (FINRA Rule 3120)
  • Advertising Review
  • Compliance Department Organization Review
  • Record-keeping Review
  • Compliance Technology Review
  • Mock SEC Exam
  • Cyber Security Review
  • IA “Fiduciary Duty” Interpretive Release Check-up
  • “Regulation Best Interest” Targeted Onsite Compliance Review
  • “Soley Incidental” Interpretive Release Focused Offsite Review
  • Form CRS Preparation Consulting