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  • Experienced Compliance Consultants Support In-House CCOs And Their Teams
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  • Expert Guidance for Start-Ups and New SEC, FINRA, NFA/CFTC Registrants
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  • Knowledgeable Consultants Who Can Provide Post-litigation Remediation Consulting
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  • Respected Advisers Who Can Serve as Credible Expert Witnesses
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  • Qualified Individuals Who Act as CCO for a Diverse and Complex Client Base
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Financial Services Compliance Professionals

We are a team of seasoned compliance consultants who bring a fresh perspective, time-tested technologies and a wealth of hands-on compliance experience to help our financial services clients – from start-ups to mature firms – anticipate and mitigate current and potential risks.

Tailored

The Alaric Compliance client-centric service model has been developed over many years and across the broad spectrum of our experience. We tailor our service and solutions to each client’s needs, helping them identify and address compliance issues before they become violations.

Tested

Alaric’s established quality-controlled processes and time-tested technologies help clients manage the health of their compliance programs with confidence.

Trusted

As former regulators, in-house compliance officers and attorneys, the Alaric Team has the expertise to understand complex situations, solve the hard problems, and instill confidence with regulators, corporate boards and committees.

Founder Guy F. Talarico Speaks to Today’s Compliance Challenges

“If your firm is registered with the SEC, FINRA, or with the NFA/CFTC, you have certain regulatory requirements you have to follow… but it’s also good business to have your books and records in order, to back up your disclosures and tie your valuation practices to rule requirements and disclosures…”

Interested in Career Opportunities at Alaric?

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