- Phone
- (646) 631-9780
- Address
- 122 E. 42nd Street, Suite 2902, New York, NY, USA 10168
Comprehensive AML Compliance Program in NY Quadrant Regulatory Group
Quadrant Regulatory Group offers a comprehensive AML compliance program in NY. Our expert team provides tailored solutions to help businesses establish and maintain effective anti-money laundering practices.
Business Profile
- Primary Category
- Financial consultant
- Secondary Categories
- Consultant, Business broker, Business management consultant
What this listing offers
Services
- AML Testing
- Broker-Dealer Membership Services
- Brokerage Accounts
- Compliance Consulting
- Compliance Monitoring
- Compliance Training
- FINOP
- FINOP Consultants
- FINOP Services
- FINRA CMA
- FINRA NMA
- Investments Advisers
- Regulatory Compliance Consultants
- Supervisory Controls Testing
- Support Solutions
- Anti Money Laundering Program
- Broker Dealer Compliance Consulting
- AML Consulting Firms
- SEC Compliance Consulting
- Finra Compliance Services
- Broker Dealer Compliance Consultants
- Regulatory Compliance Consulting
- Compliance Consulting Services
- AML Program
- AML Compliance Program
- Anti Money Laundering Compliance
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Q&A
Can you assist with FINRA Membership Applications?
Answer from the ownerWe are well-versed in navigating the application process. We understand that dealing with requests from regulatory bodies such as FINRA, the SEC, or state regulators can be overwhelming. However, rest assured that our team is proficient in these applications and will work closely with your firm throughout the application process. We will address regulatory requests promptly and efficiently, ensuring a smooth and hassle-free experience for your firm.
How can outsourcing regulatory compliance services benefit my broker-dealer or registered investment adviser?
Answer from the ownerThere are numerous benefits to choosing Quadrant Compliance Group as your outsourced compliance consultant.
- Expertise: Leveraging a team of regulatory compliance professionals experienced in establishing, maintaining, and implementing compliance programs for broker-dealers and investment advisers.
- Customized Solutions: We analyze your business activities and design a compliance program that addresses your precise needs.
- Risk Prevention: We understand the dynamics of your business model, and how to apply risk–based processes to ensure regulatory compliance.
- Accessibility: We make customer service a top priority and are available at a moment's notice.
What FINRA and SEC Compliance Services do you offer?
Answer from the ownerWe provide compliance services to FINRA member broker-dealers and SEC registered investment advisers. We provide a broad range of compliance services including:
• Assist companies with the New Membership Application process to become a
FINRA member or registered investment adviser
• Create and update Written Supervisory Procedures
• Anti-Money Laundering Program Testing
• Supervisory Controls Testing
• CEO Certification Report
• Business Continuity Plan Assessment
• Annual Compliance Program Review
• Mock Examinations
• Branch Office Inspections
• Coordinate with Regulators
• Registrations, Licensing, and Electronic Filings
• Develop and conduct Compliance training and education
• Firm Element Continuing Education
• Assist broker-dealers with the Continuing Membership Application process
Can you assist with independent testing of the Anti-Money Laundering Program?
Answer from the ownerQuadrant conducts comprehensive AML testing performed by Certified Anti-Money Laundering Specialists. We review for conformity with AML requirements, including those of FINRA, SEC, Bank Secrecy Act, USA Patriot Act, FinCEN, and the Office of Foreign Assets Control, providing an AML Testing Report with detailed reviews, findings, and recommendations to enhance your AML Compliance Program.