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 OfficerLegal & Regulatory Affairs
Why Work with RND?
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.