How We Help

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Dedicated Compliance Support

Essential Edge Compliance Outsourcing Services, LLC specializes in providing unparalleled outsourced compliance and regulatory support services. Our experienced professionals help your firm comply with all regulatory standards. We alleviate clients' compliance burden and overcome compliance pain points so they can focus on their highest priorities.

Expert Guidance and Customized Solutions

These are just some of the ways that we support our broker-dealer clients. To learn about our RIA services, click here.

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Branch Office Inspections

Branch Office Inspections

  • Cost-effective branch inspections
    nationwide by former senior professionals 
  • Industry best practices and home office tailored enhancements
  • Partnered with RegEd technology for seamless, end-to-end inspection solutions
  • Save costs and reallocate resources to growth activities
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Risk Testing

Risk Testing

  • Risk-based evaluation of supervisory policies and procedures
  • Identify key risk areas and advise on mitigation opportunities
  • Comprehensive FINRA-compliant
    summary reporting
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Anti-Money Laundering (AML)

Anti-Money Laundering (AML)

  • Independent AML testing of policies,
    training, and technology
  • Selective transaction testing with enhancement recommendations
  • Reports meeting FINRA Rule 3310 requirements; we have a solution for RIAs
  • Support with enforcement actions
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Arbitration Evaluation

Arbitration Evaluation

  • Expert evaluations of selling away, suit-
    ability, churning claims, and more
  • Consulting, detailed liability assessment,
    and damage calculations
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Internal Investigations

Internal Investigations

  • Independent investigations to avoid conflicts of interest
  • Support for overstretched internal compliance teams
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Email and Advertising Review

Email and Advertising Review

  • Outsourced review to reduce headcount
    and lighten workloads
  • Experienced team ensuring firm-
    wide compliance

Save Time, Avoid Fines

Falling out of compliance can lead to costly fines and reputational harm. Partner with us to enhance your controls and safeguard your firm.

Contact Us
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