An Outsourced Compliance Team
That Becomes Part of Yours.

Compliance. Governance. Operations & AI.

Outsourced CCO, AML testing, FINRA filings, and secure AI implementation for small and growing broker-dealers and RIAs.

Our Services

Book a 20-Minute Call

HOW WE WORK

Every critical output passes through a
seasoned human before it reaches you.

Our Services

One team. Three disciplines. Use one, or all three.

Compliance

We work alongside your team on exam prep, filings, training, and AML testing, so you're not building compliance from scratch or carrying it alone.

Governance

Systems and habits that keep your firm ahead of problems: current WSPs, vendor oversight, ongoing monitoring, and a tested plan for account takeovers and cyber incidents.

Operations & AI

Clear ownership of who does what, streamlined workflows, and AI tools your firm can adopt safely and explain to an examiner.

Learn More

WHY US

Why growing boutique firms choose to work with us.

Operator Experience

We've built and sold companies of our own, including a New York broker-dealer. Our advice comes from running a firm, not just reviewing one.

Human-Verified AI

AI lets us review far more of your emails, ads, and documents than a manual spot-check ever could, so issues surface sooner. At every point that matters, a seasoned professional reviews it and makes the call.

Boutique Compliance & Governance

We work with growing firms that don't have, or don't need, a big in-house compliance department. Your program fits how you actually run, and we tend to it all year, so exam season isn't a scramble.

Judgment Before Automation.
AI speeds up the work. It doesn't replace professional judgment. Every AI-assisted output moves through a documented, human-verified review before it becomes part of the record examiners see. That's not a feature we bolted on. It's how Compliance Matters NYC operates.

An Outsourced Compliance Team That Becomes Part of Yours.

HOW WE WORK

Every critical output passes through a seasoned human before it reaches you.

Our Services

WHY US

Why growing boutique firms choose to work with us.

Judgment Before Automation. AI speeds up the work. It doesn't replace professional judgment. Every AI-assisted output moves through a documented, human-verified review before it becomes part of the record examiners see. That's not a feature we bolted on. It's how Compliance Matters NYC operates.

Book a 20-Minute Call

An Outsourced Compliance Team
That Becomes Part of Yours.

Every critical output passes through a
seasoned human before it reaches you.

Judgment Before Automation.
AI speeds up the work. It doesn't replace professional judgment. Every AI-assisted output moves through a documented, human-verified review before it becomes part of the record examiners see. That's not a feature we bolted on. It's how Compliance Matters NYC operates.