What Makes Us Different
Our experience as former regulators has not distorted our understanding of how business should be run in a financial marketplace but has given us the ability to know what regulators are looking for and the compliance challenges faced by our clients. In addition, our industry professionals have managed countless regulatory examinations in their roles as Chief Compliance Officers and Chief Financial Officers and can help you improve your relationship with your Regulatory Coordinator and efficiently manage regulatory examination. Our team is dedicated to working with you to achieve compliance with the rules and regulations of all applicable regulatory bodies.
All Clients Receive
Customized Solutions – We analyze the needs of your business, and design a compliance program that addresses your precise needs. Instead of forcing you to change the way you work, we find ways to make compliance fit seamlessly into your business model.
Competitive Pricing – It’s our goal to deliver extraordinary compliance consulting services at rates that will accommodate your budget. This will give your firm the ability to obtain expert consulting services without negatively impacting your bottom line.
Easily Accessible – We have made customer service a top priority, and we are available to you at a moment’s notice. We differentiate ourselves by establishing a schedule of onsite visits for your firm, and by providing continuous support via telephone and e-mail.
Partnering With Your Team
Quadrant begins each engagement by interviewing your management team to develop a list of regulatory requirements specific to your firm. Next, in collaboration with management, we plan and execute strategies to achieve ongoing compliance. We schedule regular onsite visits to conduct reviews and provide feedback. In addition, we provide continuous support to our clients via telephone and email. Partnering with Quadrant is equivalent to hiring an expert regulatory compliance team to support your Chief Compliance Officer and Chief Financial Officer.
Quadrant Provides Compliance Consulting To:
Investment Advisors
- SEC Registered Investment Advisers
- State Registered Investment Advisers
- Mutual fund managers
- Private Funds
- Family Offices
Testimonials
“Understanding the dynamics of FINRA member firms, their business models, and how to apply risk-based processes to protect the firm and ultimately the industry at large is exactly what sets Quadrant Compliance apart from its competitors. I cannot begin to quantify the value, the level of expertise and professionalism Calvin and Nick bring to the table as a partner. Their broad-based knowledge and confidence in their responsiveness are unmatched in the industry. At the end of the day, partnering with Quadrant Compliance offers firms the opportunity to confidently evolve and ultimately be better at what they do.”
Compliance Officer, Trading Broker-Dealer
“Working with the folks at Quadrant was a pleasure, they provided us with exceptional services and a level of professionalism and knowledge seldom seen. Their testing program was extensive and covered a wide breadth of areas that would impress any auditor or examiner.”
Compliance Officer, Trading Broker-Dealer
“Quadrant has provided our Firm with superior service for multiple years. The high-quality and prompt response time afforded by their staff is unmatched and highly appreciated. Keep up the great work!”
Compliance Officer, International Broker-Dealer
“I have found Quadrant to be a fully engaged and responsive partner in our Compliance area. We switched to them a few years ago and the difference between Quadrant and our old consultant was night and day! They are well-versed in all areas of compliance and have helped our staff become more knowledgeable in this area as well. I have recommended and will continue to recommend Quadrant as “Best in Class!”
Compliance Officer, M&A Broker-Dealer
“Quadrant Compliance Group (“Quadrant”) has conducted our FINRA Rule 3120 Audit for several years. This audit is necessary to remain in compliance with the submission of the FINRA Rule 3130 annual certification. The team at Quadrant brings a strong knowledge of FINRA and SEC rules and regulations. Quadrant also provides the experience and sophistication to explain the rules, and requirements to adhere to them in an easy to understand manner. The audits are conducted in a firm, but fair way to self-prepare for a true regulatory examination. As a former FINRA Examiner, and Chief Compliance Officer at both an Investment Advisor and Broker-Dealer, I would recommend the services of Quadrant Compliance Group.”
Compliance Officer, Trading Broker-Dealer