Contract engagements structured around your expertise and schedule. We serve broker-dealers, RIAs, fintech platforms, and digital-asset firms across the US.
Serve as a CCO, COO, or CEO on a fractional basis for broker-dealer and RIA clients. You embed directly into client operations and lead their compliance program.
Mid-level compliance staff supporting regulatory filings, surveillance reviews, WSP maintenance, and day-to-day supervisory procedures for our broker-dealer clients.
Subject-matter experts in specific regulatory domains working across multiple client engagements: AML, cybersecurity, digital assets, marketing, or FINRA registrations.
Publish insights, speak at conferences, and shape the next generation of AI-native compliance alongside the most experienced practitioners in capital markets.
Contract work structured around your schedule. Multi-client variety keeps your expertise sharp while giving you control over your time and capacity.
Access proprietary AI workflows built specifically for compliance — automated surveillance, intelligent document review, and AI-assisted risk scoring reduce manual burden so you focus on high-judgment work.
Work alongside 60+ years of combined regulatory expertise. Collaborate with seasoned CCOs, FinOps specialists, and operations professionals who have seen it all.
Expert fractional leadership, AI-powered workflows, and audit-ready oversight — on your timeline.