Welcome to RND Compliance
Actionable Guidance for Complex Regulatory Challenges
Work with the experts at RND Compliance to conquer the complexities of FINRA and SEC regulations and focus on what you do best.
Broker Dealer & RIA Solutions
Whether you’re a start-up or established firm, work with RND Compliance for integrated solutions to solve your most complex challenges including regulatory action resolution, audit and exam preparation, on-going compliance administration, and more.
FinOp & Accounting Services
An effective Financial Operations Principal role is critical in running a compliant firm. RND Compliance operates as an extension of your financial team; staying ahead of changes to regulatory requirements and ensuring peace of mind for that next audit. Our experts can register as your FinOp or file FOCUS and SSOI filings on your behalf.
FINRA Membership & RIA Registration
Experience
Our experts have over 40 years experience in FINRA and SEC regulatory and compliance and stay ahead of changes so you don’t have to.
Speed
High-speed, efficient turnaround on your requirements.
Flexibility
Ability to work onsite as an extension of your team or fulfill specific compliance and regulatory needs.
Affordable Solutions
Cost-effective and efficient solutions for your business model.
Proven Strategies
Strategic Partnerships
We partner with the best of the best to ensure the highest level of services.