RGH Compliance Solutions, LLC (“RGH”) is a Dallas, TX based consulting firm servicing broker-dealers, registered investment advisors and other financial services firms. We offer a wide array of consulting services depending on your needs. Whether you are a start-up or established firm, we can help you meet your ever growing regulatory and compliance requirements with our experienced team of compliance professionals.

Oversee a compliance staff of three Officers and one assistant to ensure that daily reviews, projects and activities are completed and comply within applicable FINRA, MSRB and SEC rules and regulations. Actively work with senior management on a daily basis to help solve and offer solutions to issues or concerns across multiple business lines, including Capital Markets, Public Finance and Correspondent Clearing. A member of the Risk Committee responsible reviewing overall firm risk by reviewing and approving operational risk reports, new underwritings, remarketing agents, new correspondents, new products, and securities lending policies and limits. Member of the Information Security Committee review current policies to ensure the security, confidentiality, and integrity of customer information and assess effectiveness of current procedures.

I oversee the compliance department’s staff to ensure daily reviews and activities are conducted to ensure compliance with NYSE, FINRA and SEC rules. Work extensively with senior management and legal in formulating new policy and procedures around new products and projects, and finding compliance solutions to questions and concerns. I coordinate and handle all compliance aspects of onsite FINRA audits, including oversight of document gathering and acting as the point of contact between executive and senior management and the auditors for all information given and received during onsite regulatory exams.

Actively assisted in all broker/dealer compliance issues, inquiries and activities. Provided the supervision of over 160 representatives which, included review of daily trade blotters, exception reports, customer complaints, advertising, and outside business activities. Developed and maintain the firms Written Supervisor Procedures. Structured, assigned and implemented a new branch office inspection system.

Led the Texas Compliance Team which supervised of over 1,000 representatives in the Texas region as well as all 350 home office employees. Responsible for all broker/dealer compliance issues, inquiries and activities in the state of Texas, including supervising, structuring, assigning and implementing a branch office inspection system. Had supervisory responsibility of the other Texas examiners’, including their review of daily trade blotters, exception reports, customer complaints, approval of U4 applications and outside business activities. Prepared and presented continuing education and compliance session for 6,000 registered representatives. Researched and positioned company for compliance with new Website & Variable Annuity NASD regulations.