ComplianceQuest offers a team of over 20 insurance and securities compliance professionals, with extensive experience in leading companies and their broker/dealers. We have broad experience in achieving compliance with FINRA and SEC regulations, and building top quality compliance and ethics programs, policies and procedures, and automated systems.

Our people have experience with back office and compliance operations including mutual fund and variable annuity acceptance and processing, pricing and suitability, sales practices and red flag monitoring, internal audit, training, and mergers and acquisitions. All of our associates have been responsible for key compliance functions and projects as Managers to CCOs in their prior companies.