Amoroso Compliance Consulting, LLC Does Not Provide Legal Advice
Let us use our experience to
assist you in your relationship
with both your regulator and,
when needed, your outside counsel.
COMPLIANCE SOLUTIONS
Compliance Projects
Assist compliance team with projects that it has not had time to address.
Short-Term Compliance Assistance
Assist compliance team on short-term basis to catch up on required compliance reviews.
New Rule Implementation
Review new rules and determine how they will affect your firm based on your firm’s specific facts.
We can draft policies and procedures that will be reasonably designed to ensure compliance with the new rule.
Anti-Money Laundering
Analyze and test your AML policies and procedures
Check your surveillance processes.
Assess your AML training program.
Assess your documentation of compliance.
Regulatory Examination Guidance
Conduct mock exam in preparation for regulatory exams.
Act as a firm liaison for a regulatory exam so you can stay focused on running your business.
Provide assistance during an on-site regulatory exam to answer your questions and help you manage the exam.
GAP Analysis
Conduct an analysis of your entire compliance system or just certain areas to determine if there are regulatory shortcomings in your firm’s supervisory controls, or policies and procedures.
Compliance Manual
Prepare a complete set of Written Supervisory Procedures which are tailored to your firm’s business.
Review your existing Written Supervisory Procedures and provide feedback for improvements, if applicable.
Conflicts Review
Conduct analysis of firm operations to identify potential conflicts of interest and how to address them.
Branch Office Inspections
Conduct branch office exams as required by FINRA Rule 3110.
COLLABORATION WITH OUTSIDE COUNSEL
Regulatory Document Productions
Work with Counsel on the preparation of a regulatory response to a regulatory inquiry and/or request, and work with Counsel on the preparation of documents for production to regulators.
Document Review/Analysis
Work with Counsel to review and analyze documents related to regulatory inquiries to identify areas of concern or mitigating
circumstances.
On-The-Record Interview Preparation
Work with Counsel to review documents and fact circumstances to prepare individuals for on-the-record interviews or sworn
testimony.
Internal Investigations
Work with Counsel to conduct internal investigations related to regulatory issues identified by the Firm and/or Regulators.
Expert Witness
Work with Counsel to assess the assertions made by regulators or claimants, and work with Counsel to provide expert testimony..
Email Review
Complete thorough analysis of emails as part of internal/regulatory investigation.
Manage team of persons assigned to conduct email reviews:
• Prepare email review protocol.
• Spot check and provide guidance to review team.
