SJM Compliance Consulting

sjm approaches compliance for broker-dealers and registered investment advisor firms with the understanding that compliance is a business within your business. similar to the company's business plan; firms should have a published compliance program that goes beyond their regulatory compliance manual(s). your compliance program should be easily communicated to your advisors, staff and executives. financial practices that “silo” functions such as operations-compliance-sales-marketing-finance-strategic planning will find it hard to execute a business plan let alone execute on a compliance program. our expertise is to work with each client on the execution of their plans/manuals and building a program that is easily scaled with a focus on delegation of responsibilities – holding those accountable for execution and success by providing clarity to specific roles and responsibilities. being a business owner can be enjoyable and rewarding experience when everyone is informed and expectations a