The right compliance program doesn’t need to be complex or expensive.
It just needs to fit your business.
New Broker Dealer
Compliance Support for Established Broker Dealers
Anti-Money Laundering (AML) Audit
Whether its assisting new broker dealers settle into their new broker dealer role, or working with mature firms to tackle a compliance issue or a conduct a required AML audit, Carolyn Kasky understands what needs to be done and what’s at stake.
A recent review by multiple clients highlighted the key strengths that make Carolyn stand out, and the feedback was consistent: Diligent, Knowledgeable, Professional, Timely, Reliable, Straightforward, Honest, Ethical and Goal Oriented.
What Others Are Saying
“From a value perspective … you are providing the expertise of a full time, totally knowledgeable professional, without us having to pay for someone like you on a full-time basis.”
-Tom K., CCO - Investment Banking Client