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Call us: 1.888.243.2448
Or Email Us: info@alariccompliance.com To schedule a phone appointment
The recent escalation of regulatory changes and examinations from the SEC and FINRA has made it necessary for broker-dealers to ramp up their focus on risk assessments and compliance monitoring. The role of the broker-dealer compliance officer has expanded as a result of this changing landscape. In order to remain compliant and competitive, CCOs need skills that meet the demands of their redefined roles. Our team at Alaric Compliance can provide you with the support and tools needed to succeed in this challenging and changing role.
The Alaric Compliance team offers specialized compliance services to broker-dealers to help in-house CCOs assess and anticipate compliance issues, and effectively manage their compliance programs. Our depth of knowledge and experience ensures that we can provide the solutions you need, including: registration assistance; support for annual regulatory reviews and examinations; training and continuing education; and independent anti-money laundering (AML) reviews.
Call us: 1.888.243.2448
Or Email Us: info@alariccompliance.com To schedule a phone appointment