Services

	Broker-Dealer Services

	Chief Compliance Officer Outsourcing

	Compliance Program Building

	Compliance Program Oversight and Monitoring

Serving the regulatory
compliance needs of broker dealer, SEC-registered, and unregistered investment management firms.

ALARIC Compliance Services
800 Third Avenue
11th Floor
New York, NY 10022
212.243.5241

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Services

Broker dealers choose ALARIC Compliance Services to meet many regulatory compliance requirements, including the need for independent anti-money laundering reviews and firm element continuing education training.

ALARIC also provides qualified individuals to act as the Chief Compliance Officer for many clients. In addition, many firms choose ALARIC to build or enhance compliance programs, and we oversee and monitor firms' existing compliance programs.