Everyday back office needs - solved.

We manage day-to-day compliance and operational tasks for BDs and RIAs. We use your existing systems to take everyday tasks off of your plate.

We work with your current systems.

SERVICES

Unlock the power of your new team.

Marketing Reviews

AML / KYC

We review marketing materials and provide guidance on regulatory expectations.

We'll perform AML and KYC reviews for client and vendor onboarding.

Conflict Monitoring

We monitor personal trading, outside business activity, political contribution and private securities transactions.

Communications Monitoring

We conduct reviews of electronic communications to help firms meet regulatory obligations.

Regulatory Filings

We can prepare and file all necessary regulatory filings for your firm.

Vendor Procurement and Implementation

Not yet registered? We can help with that as well.

We are FinTech and RegTech experts. Hire us to help you procure and implement new vendor systems and technologies.

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See a full list of our services here.

Spend time on the big picture. Outsource your busy work.

We believe in efficient and trustworthy action.

Our team has built broker-dealers and investment advisors from scratch. We know what it's like to be in the trenches, managing an overbearing compliance and operational workload that can slow down strategic progress and growth. We're building the company we wish we had during those times, and we're excited to help.

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ABOUT US

TESTIMONIALS

Our clients are our partners

I send all of my clients to the ComplianceBeta team. They are cost-effective and easy to work with. We handle the complex regulatory work and they take care of the rest.

Jason and the ComplianceBeta team can do it all. They know this landscape inside and out. Not only will they do the tedious work for you, but they'll offer up improvements as well.

Ann Griffith

CEO, Griffith Compliance