Compliance Risk Concepts
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Compliance Risk Concepts: Senior Compliance Consultants & Executives.
  • Stop Hunting and
    Gathering and Start
    Analyzing and Guiding

    Organizations are utilizing highly qualified / skilled human capital to essentially act as “Aggregators.” Compliance Risk Professionals have less time to focus on project risk management tasks.
  • Outsourced Support, In-House Expertise

    CRC is a business-focused team of senior compliance executives providing top-tier compliance risk management services to clients on an as-needed, project or part-time basis.
  • CRC Professional Services Model & Verticals

    We are a team of Compliance Risk Management industry professionals that have a proven track record of establishing comprehensive Compliance Risk Management Programs throughout many industry verticals.

Compliance Risk Concepts

CRC is a business-focused team of senior compliance consultants and executives who furnish top-tier compliance advisory services to clients on an as-needed, project or part-time basis. We provide our clients with the critical skills and expertise required to establish, maintain and enhance a balanced and effective compliance operational risk management program. We help organizations demonstrate a commitment to a strong risk management culture. We bring a unique tailored approach to help our clients succeed in today’s challenging regulatory and economic environment, enabling and empowering our clients to manage the “cost of compliance” without sacrificing the necessary infrastructure and control environment.
We Handle Needs of Both

Small & Large Companies

For small companies that operate modest in-house compliance support groups or that have appointed a front officer producer to serve as CCO, CRC handles ongoing, routine compliance matters at a fraction of the cost of traditional resources (e.g., headcount increases, consulting with outside counsel on compliance-related matters). For larger companies that employ a CCO, General Counsel or more robust in-house staff, we serve in an overflow capacity, acting as an extension of the in-house team to ensure your compliance program is properly functioning, manage spikes in workload or address underserved areas of your business.

The Compliance

The Problem at its Core:
Organizations are struggling AND failing to establish adequate compliance with operational risk management programs

During the past decade, financial services providers have experienced an exponential increase in regulatory scrutiny. Beginning with the 2008 financial crisis, regulators have ratcheted up their expectations with respect to the degree to which firms must focus on compliance and risk as well as the resources that must be devoted to such endeavors.
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Service Model & Verticals

We offer compliance consulting services in the following areas:
  • Broker Dealer Compliance Services
  • SEC and State Registered Investment Adviser Support
  • National Futures Association (NFA) Compliance Support
  • Enterprise Compliance Risk Management
  • Financial and Operations Principal (FinOp) Services
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Mitch Avnet

Mitch Avnet

Founder and Managing Partner

David J. Amster

David J. Amster

Principal and Head of Fund and Dealer Advisory

Roland Reyes

Roland Reyes

Principal and Head of Execution Services

Jaclyn Bowdren

Jaclyn Bowdren

Principal and Chief Operating Officer

Our Team is our Family

What Our Clients Say

  • Peace of Mind. That’s the feeling I get when I work with CRC. And peace of mind is priceless in this increasingly complex world of compliance. CRC is so thorough in its analysis of problems and opportunities, and the work they do is so professionally sound and accurate, that it leaves me the time to focus on other areas of my business that will positively benefit the bottom line. For over a decade, I have both worked directly with CRC, and also put my own clients in their care. I highly recommend their services."
    Derek Bruton
    Senior Managing Director, Gladstone Group
  • I can’t say enough great things about our experience with CRC. We’re a consumer technology team who came to them with zero broker-dealer experience. Over the course of the next year they not only expertly navigated the FINRA NMA process but also helped us build our broker-dealer from the ground up while simultaneously giving our team a crash course in operating a broker-dealer. Today, as we’ve moved from the application process to operations, we continue to rely on CRC’s experience and expertise on a daily basis.”
    Ben Gildin
    General Counsel, Upside Marketplace, LLC
  • CRC has been instrumental in helping us navigate the regulatory universe. They've been patient, responsive and true partners in problem solving. As a startup, CRC has helped us approach registration economically, and with the right sequencing for our evolving platform.”
    Craig Hine
    Head of Capital Markets, Juniper Square
  • We would not have been where we are today without the partnership and personal friendship CRC has generously provided us over the years. Their support, expertise, and care for who we are personally and professionally has helped define our service model to our own clients. CRC has been an integral extension of our firm from our initial vision to launch to where we are today. Congratulations on 10 years! We can’t thank you enough.
    Don O’Hara
    Chief Executive Officer / Chief Compliance Officer, PennHaven Brokerage Partners, LLC
  • Collaborating with the CRC Team is not just a pleasure; it's like having a trusted compliance partner by your side. Their expertise and seamless cooperation ensure a consistently positive working relationship with both MCO and our valued clients.
    Jeff Childs
    Director of SMB Sales, MCO
  • Arta Finance has been working with CRC since before we named our company! CRC guided us through the RIA application process and has been an integral part of our team at all levels of the company. Their focus on building a healthy compliance environment at Arta and their keen knowledge of the regulatory landscape have been immensely helpful as Arta has grown. The team at CRC have been true partners from day one.”
    Dave Shapiro
    Co-Founder, Arta Finance
  • Working with CRC has been a great experience. Their professionalism, commitment, and reliability have made this partnership genuinely outstanding. We really appreciate their hard work in helping us achieve our goals.
    Leticia Gatto
    Risk Management and Governance, Nomad
  • The entire CRC team is a huge asset to me and our business. They are always available when something comes up and are equipped with a deep understanding of the laws and regulations. They are always ready to discuss business strategy and planning so we can avoid potential pitfalls. I look forward to working with them for the next 10 years!
    Joseph Reigadas
    Chief Compliance Officer, Leste
  • “I have worked with the CRC team on numerous projects over the last 5 years. Across the board, CRC are incredibly knowledgeable and commercial in their approach. I am also consistently amazed at the wide range of knowledge and areas that they cover within the broker-dealer, RIA, and financial services sector as a whole. CRC is who I call first when I have an issue. Congratulations on 10 years!
    Alan Arkin
    Principal, Offit|Kurman
  • CRC has been an instrumental part of our firm’s stability and growth. As a fintech brokerage, our needs were constantly shifting and evolving. And CRC has been an incredible partner by providing specialized personnel, regulatory guidance, and as a strategic advisor as those needs arose. By providing ongoing, flexible resources for both short term and long term needs, CRC was able to help us reduce our headcount and overhead, while also covering all of our regulatory and license requirements.
    Victor Wang
    Chief Executive Officer, Stockpile, Inc.
  • Our experience with the CRC team has truly been incredible. They have gone above and beyond the standard role of a "Consultant" in helping us launch a FINRA-licensed Broker Dealer and ATS from scratch. Two main areas of excellence have really stood out to us while working with the CRC team.
    First: our business model is novel and complex, and CRC has been instrumental in helping the regulators understand what we are trying to accomplish. Their ability to effectively "back channel" with the regulators on various points has truly made the difference in keeping us on track, and on schedule, for FINRA approval.
    Second: the CRC team has also evolved into a trusted, valued strategic thought partner. They think one step ahead on bigger picture FINRA/SEC themes and concepts. Since we are developing our BD / ATS from the ground up, the CRC team's forward thinking and guidance has helped save us time and money in technology development costs (by avoiding some pitfalls, and adding some features, to preemptively address potential regulatory concerns).
    Dugan P. Kelley
    Owner of Way Maker Real Estate Partners, LLC (NMA for FINRA BD / ATS)
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