Outsourced compliance services for broker-dealers and registered investment advisers
Branch Office Inspections
CEO Certifications
Internal Investigations
Independent AML Exams
Highly Experienced Examiners
Former senior compliance officers deliver cost effective solutions
Better Value
A network of branch reviewers at a competitive price
Flexible Pricing
Choose what works best for you
Why We Are Different
Our cost competitive model frees you up to focus on pressing matters without the administrative burdens of using in-house staff. We provide better value by leveraging our independent professional consultants’ diverse compliance and supervisory experience on an as-needed basis.
How We Help
We provide exceptional customer service, while saving you money, and the trouble of potential conflicts of interest. Browse some of our practice areas to learn more about how we can help you.
Contact Us Today for a Consultation
We look forward to hearing how we can help you. Our consultants have the depth and breadth of experience to get you the results you need.
Contact Beth at (646) 981-8034 or beth@eefirms.com.
Management Team
Our reputable, talented team members are committed to delivering the highest quality compliance products and services. Let us put our decades of compliance experience to work for you.
