Expert Consulting

As a Compliance Officer, one can often feel overwhelmed at the responsibility and accountability that goes with the job. Compliance officers are ultimately responsible for designing and implementing compliance programs to ensure their respective firms are following industry rules. This can often be a demeaning and demanding responsibility. Compliance Officers are never congratulated for achievements, but they get fingered when something goes wrong. It can often be a no-win job. If they don’t report violations, regulators suspect they’re ignoring infractions. Report too many and they suspect they’re incompetent.

Securities Compliance Management, a leading firm specializing in compliance consulting to the financial services industry, will ensure that your compliance department implements an efficient yet effective compliance culture. We will work with you to ensure that you don’t learn the hard way and find yourself in an enforcement case. Recently, ESPN the magazine published the following quotes related to compliance officers in college sports and I have altered these to show you the reality of how the commpliance job can be viewed by many:

“It doesn’t do me any good to know the rules. As soon as I learn them, they change.”

“In most professions, if you get 99% on a test, you’re brilliant.” In compliance, if I get 99%, I screwed up.”

“The worst part about compliance is that they don’t have guidelines for it. There are no boxes to check to show that you objectively tried to supervise. If violations occur, regulators inevitably conclude that you could have done more.”

“Compliance Officers often live like enemies of the state. They’re never invited to happy hour. Business stops when they enter. They usually eat lunch alone.”

“Often times, compliance professionals feel like pawns in a chess game.”

“Firms tacitly expect compliance officers to push every rule as far as possible.”

“There are plenty of producers who toe the line and give compliance its due. But those who don’t generally fall into two categories: They either have blatant disrespect for compliance or they just fake respect for it. The second group understands that compliance exists to save them from themselves.”


Compliance can be overwhelming and mistakes costly. We will give you an appraisal of what the current regulatory requirements are since they are constantly changing as well as what the current areas of focus are for the regulatory bodies. We will make recommendations as to what should be improved and provide risk analysis as well as assurance that the existing processes are effective, implemented correctly, and are functioning correctly. The end result is reduced exposure to regulatory risk.