Skip to content

Compliance Consulting

Goldcrest Consulting Services, LLC works with leading compliance consultants offering cost effective alternatives to maintaining or developing an in-house compliance staff. We recommend any firm in need of compliance consulting to contact us.

We can help you identify a firm matching your specific needs.

Cost of Broker Dealer Compliance Consulting

Compliance services are offered on a flat rate or per hour basis.

Types of Compliance Consulting Services

Compliance consultants provide the following services:

  • Anti-Money Laundering (AML) Audit and Testing
  • Anti-Money Laundering Procedures
  • Annual Compliance Meeting
  • Business Continuity Preparation and Review
  • Branch Office Inspection
  • CEO Certification Preparation
  • Compliance Procedures and Updates
  • Continuing Education
  • CRD Registrations and Amendments
  • Due Diligence/Product Reviews
  • Disclosures and Attestations
  • Electronic Filings (Form BD, Form BR, Form U4, Form U5)
  • Licensing
  • Liaison with Regulators
  • Mock Regulatory Examinations
  • Privacy Policies
  • Registration
  • Risk Assessment
  • Supervisory Control Assessments – 3120/3130
  • Surveillance
  • Training
  • Written Supervisory Procedures and Policies

We take care of your books for you, so you can get back to the job of running your business and generating profits.
Learn More...
We offer payroll solutions that meet your business's needs and enable you to spend time doing what you do best--running your company.
Learn More...
We offer a variety of services to help make sure that you are taking full advantage of Quickbooks' many features.
Learn more...
We're here to help you resolve your tax problems and put an end to the misery that the IRS can put you through.
Learn More...
We offer one-on-one guidance and a comprehensive financial plan that helps manage risk, improve performance, and ensure the growth and longevity of your wealth.
Learn More...

© Goldcrest Consulting Services, LLC 2021