On-site or Remote Compliance Reviews

Given the pace of regulatory change and the mission-critical nature of getting compliance right, it helps to tap outside experts whose domain expertise is navigating the regulatory landscape.

NRS compliance professionals have a wealth of expertise working in the private sector and for regulatory bodies:

  • Bringing unmatched expertise when reviewing your firm’s compliance program, and
  • Bridging the divide when navigating regulatory requirements and real-world business needs.

Clients count on NRS consultant compliance professionals for accurate risk assessment, guidance in addressing weaknesses and taking corrective actions as well as for ongoing support as business needs and regulations change.

Having helped thousands of firms comply, NRS Compliance Consulting sets the industry standard for:

  • Compliance Program Reviews
  • Annual Reviews
  • Mock SEC Examinations
  • Independent Compliance Consultant Reviews
  • Anti-Money Laundering Audits
  • Cybersecurity Reviews

Products

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Compliance Program Review

NRS Compliance Reviews help firms stay ahead of ever-changing FINRA, SEC and State Regulations. Our expert consultant compliance professionals execute a comprehensive assessment of your firm’s compliance program, test it against applicable regulatory requirements and expectations, and help identify and remediate compliance risks. NRS conducts a thorough review with an emphasis on policies and procedures, […]
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Annual Review

As part of the Investment Advisers Act of 1940 Rule 206 (4) – 7 (17 CFR 275.206(4)-7), investment advisers and dually registered firms are required to conduct annual reviews of their policies and procedures to assess their adequacy and effectiveness. In a 2017 Risk Alert, SEC staff noted that failure to conduct annual reviews, as […]
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Mock SEC Examination

The Securities and Exchange Commission continues to increase its exam pace especially for those investment advisers that have not been examined within the last three years. Through our Mock SEC Examination, NRS tests your firm’s preparedness for examination. The mock examination evaluates the ability and preparedness of your firm’s key personnel, processes and records to […]
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Independent Compliance Consultant Review

Regulators and firms involved in enforcement proceedings often rely on NRS to serve as the independent compliance consultant approved to assist with oversight and remediation. While the specifics vary based on the client’s situation, such engagements frequently include: Off-Site Review: NRS will request a series of compliance documents responsive to the issue outlined in the […]
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Macro photo of tooth wheel mechanism with MONEY LAUNDERING letters imprinted on metal surface
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Anti-Money Laundering Audit

New ways to launder money and engage in fraudulent activities have put broker dealers under increased pressure to remain compliant. The USA Patriot Act and FINRA Rule 3310, require broker dealers and dually-registered firms to design and implement an AML program that includes appropriate policies and procedures, a customer identification program, and an annual review […]
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Cybersecurity Review

The SEC continues to emphasize that cyber security protection is critical to the operations of financial markets. In its recently released National Exam Program Examination Priorities, the Office of Compliance Inspections and Examinations (OCIE) reiterated that the Commission is focused on working with firms to identify and manage cyber security preparedness in the securities industry. […]
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