RND COMPLIANCE

RND Compliance specializes in FINRA and SEC consulting, compliance, and remediation for broker-dealers, RIA firms, fund managers, and related financial industry firms. We're committed to providing expertise in compliance matters such as; consulting for start-up firms, resolving regulatory actions, audit and exam preparation, on-going compliance administration, and much more... 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... RND Compliance FINRA and SEC experts provide actionable guidance for complex regulatory challenges so you can focus on what you do best.

Primary location: Woodland Hills United States