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, regulatory requirements, and industry best practices to prepare firms for a regulatory examination, and to identify compliance risks. Reviews are tailored to fit your needs and include:

  • Anti-Money Laundering Audit
  • Risk Assessment
  • Due Diligence Review
  • Cybersecurity Review

NRS consultant compliance professionals have decades of expertise working in the private sector and for regulatory bodies. They bring unmatched expertise when reviewing your firm’s compliance procedures while navigating regulatory requirements and considering real-world business needs.