Securities Compliance Advisors

Our collaborative team of professionals provides a focused, efficient, and highly individualized approach to regulatory compliance for financial institutions. SCA clients, located throughout the US and Europe, include family offices, private fund managers, institutional and retail investment advisers and broker dealers offering a variety of investment services. Whether your regulator is the SEC, FINRA, CFTC, MSRB, and/or State Regulators - our goal is to improve your performance and sustainability through integration of a robust compliance culture and infrastructure throughout your organization. Our proven approach allows you to effectively manage the reputational and financial risk that may result from regulatory actions and litigation. First and foremost, we must understand your business, which allows us to provide highly customized products and services to meet the unique challenges you face every day. Our team approach means two senior consultants and at least one associate work hand-in-hand with you. Your consulting team is fully apprised of every aspect of our engagement with you. This allows us to react very quickly when issues arise. SCA has been a trusted provider of compliance consulting products and services since 1996. Our team is comprised of industry experts in securities regulation, including accountants, attorneys, former regulators, industry executives and compliance officers. The majority of our team has been with SCA for more than eight years.