Achieve Seamless Compliance Management

Outsource Compliance, Improve Quality & Cut Costs

Our Unique Approach

Essential Edge is the Compliance Department You Don’t Have to Build.

Only Better.

Founder Sander Ressler’s stint at a large consulting firm led him to found a consultancy with a radically different approach. As a virtual firm, without the overhead of many large consultancies, we pride ourselves on passing along savings to our clients. We deploy experienced consultants, many of whom have years of supervisory experience, on an as needed basis. Only pay for who you need, no more, no less.

We prevent budgetary surprises by offering a popular flat-feel option to avoid expense overages, expense reporting and accounting headaches.

Quality, responsiveness and accessibility aren’t Essential slogans, they’re watchwords. Essential Edge management team is available to clients 24/7.

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Experienced Consultants

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Better Value

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Flexible Pricing

Tailored compliance Solutions for Broker Dealers

These are just some of the ways that we support our clients.

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Branch Office Inspections

We use our clients’ modules to conduct branch inspections remotely or on-site, whether firms have opted in or out of the FINRA pilot program. One of our value-adds is offering best practices gleaned from serving many firms.

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Risk Testing

After meeting clients to understand their business, our risk-based approach to test and verify the effectiveness of the firm’s policies and procedures also identifies the areas that may pose the most significant risk. We deliver a summary report that meets the annual reporting requirements of FINRA Rules 3120 and 3130.

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Email & Advertising Review

Whether you need short-term help with a backlog or have a long-term need, we help firms stay compliant with all forms of electronic communication. Upon request, we leverage our AI partners to help
expedite the process.

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CEO Certifications

Let us be a fresh perspective for your independent exam while ensuring full compliance with FINRA Rule 3130.

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Internal Investigations

We help firms avoid conflicts of interest when internal sensitivities preclude a firm’s CCO or GC from conducting an investigation. We also step in when internal resources are stretched too thin.

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Independent AML Exams

We conduct thorough independent exams, recommending areas to
strengthen firm programs.

Should your firm become the subject of an enforcement action, we assist in several ways, including identifying the cause of the problem, assisting with regulatory communications and creating corrective action plans.

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Supervision

We help firms with implementing their robust supervisory systems and controls designed to ensure regulatory compliance, mitigate risk, and uphold the integrity of operations and client interactions.

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Data Remediation

Let us help you identify, correct, and validate inaccurate, incomplete, or outdated data to ensure integrity, regulatory compliance, and operational efficiency across your
books and records.

Registered Investment Advisors

Let our experts support your advisory’s compliance department from any of the following areas. We invite you to contact us to discuss your needs.

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Comprehensive Compliance Support for RIAs

We offer scalable, tailored solutions to meet your firm’s unique compliance needs.

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Ongoing Compliance Management

We act as your outsourced Chief Compliance Officer (CCO) or support your in-house compliance team with:

Monthly/quarterly task calendars
Advertising & marketing reviews
Investment trading and personal transaction monitoring
Compliance training for staff

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Compliance Program Development

We build and implement a customized compliance program that fits your firm’s structure, investment strategy and risk profile.

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Annual Reviews & Risk Assessments

Meet your Rule 206(4)-7 obligations with a thorough, documented annual review of your compliance program. Identify weaknesses before regulators do.

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Form ADV & Regulatory Filings

Stay on top of filing deadlines with support for:

Form ADV Parts 1 & 2
Form CRS
State notice filings
U4/U5 submissions

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Independent AML Exams

Plan now to avoid rushing to meet the new AML requirement.
Learn More

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Mock SEC Exams

Get prepared for a real exam. We conduct mock SEC or state regulatory audits to uncover potential vulnerabilities and guide you through remediation.

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Employee Training & Code of Ethics Oversight

Keep your team compliant with annual training, personal trading reviews, and Code of Ethics enforcement.

Essential Edge is a Proud Strategic Partner with Ascentix

Larry Roth, one of the most respected voices in wealth management strategy and M&A, has rebranded RLR Strategic Partners as Ascentix Partners and launched the Ascentix Partners Network. Essential Edge is a proud network Strategic Partner.

This network brings together independent consulting firms that provide best-in-class solutions across strategy, M&A, technology, compliance, finance, brand and more.

As a Strategic Partner we are pleased to be working alongside other trusted leaders to support enterprise growth in the RIA and wealth tech sectors.

If you would like to discuss how the network can benefit your firm, contact Sander Ressler, Essential Edge Managing Director.

(303) 594-8237 | sander@eefirms.com

Learn More

Depend on Us

Essential Edge understands the compliance and regulatory needs of Chief Compliance Officers at broker-dealers, registered investment advisors, banks, and insurance firms because, more likely than not, we have been in your position.

We know what it’s like to juggle competing deadlines and complex regulatory requirements while meeting internal customer service demands. When you lose an employee, meeting targets becomes even harder. That’s why we are committed to being more client-centric than the competition. We seamlessly supplement in-house efforts to satisfy the demands of your registered representatives and financial advisors.