FINRA & SEC Regulatory Compliance Experts

About Us

Work with RND Compliance as your

FINRA & SEC Regulatory Compliance Experts

RND Compliance is a leading provider of FINRA and SEC consulting, compliance, and remediation services for broker-dealers, RIA firms, fund managers, and related financial industry firms.

We are compliance experts providing consulting for established and start-up firms, resolving regulatory actions, audit and exam preparation, on-going compliance administration, and much more.

Our breadth of experience is vast, as we’ve been serving financial firms over 40 years and have worked nationally with a number of business models.

RND provides regulatory compliance solutions for:

  • Broker-Dealers
  • Registered Investment Advisory Firms
  • Municipal Advisors and Brokers
  • Hedge Fund Managers
  • Private Equity & Private Placement Entities
  • Commodity Trade Advisors, Futures Commission Merchants,
  • Insurance Companies, Investment Banks, Fintech Startups, and many others.

Why work with RND?

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. 

Our Services

Meet the Team

Trusted by Broker Dealers, Registered Investment Advisors, and Fund Managers for over 40 years. Work with RND for the highest level of customer service and unmatched regulatory compliance expertise.

Brian Sweeney

Chief Operating Officer
Legal & Regulatory Affairs

Terence Morrissey

Vice President | CPA, MSA

Dave Banerjee

Co-Founder & Senior Compliance Advisor

Radhi Banerjee

Co-Founder & Senior Compliance Specialist

Anna Felipe

Senior Compliance Officer

Mike Rokhi

Senior Accounting Manager | MAFM

Tarik Munisoglu

Business Development Manager

Why Work with RND?


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.


High-speed, efficient turnaround on your requirements.


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

Our experts use real-world experience to deliver clear, pragmatic, and actionable solutions to accomplish your business and regulatory goals.

Strategic Partnerships

We partner with the best of the best to ensure the highest level of services.