About 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 Problem

The Problem at its Core:
Organizations are struggling AND failing to establish adequate compliance 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.

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

Our Team is our Family

What Our Clients Say

  • In today’s rapidly changing regulatory environment along with the ever constant drive for efficiency, CRC is the perfect partner to support our strategic business plan as well as our day to day challenges.

    Paul DiBenedetto equalfuture
  • CRC has definitely helped me with achieving operational and strategic goals for my compliance program and I couldn’t be happier. Our relationship has only gotten better over time and we value the expertise, collaboration, and problem solving skills they bring to the relationship as we continue to improve and adapt our program to address new and changing regularly requirements and fiduciary.

    Linda Ridolfi Chief Compliance Officer | Penn Capital Management Company, Inc.
  • As the CCO for a financial services firm, it is important that I find ways to help control risk, improve efficiencies and keep up with the ever changing regulatory landscape. One of the best ways to do this is by engaging a professional consulting firm like CRC. CRC is the perfect partner for my Firm. Mitch and his team are true professionals with a great deal of industry experience and strong relationships with leading technology and solutions vendors. Through CRC’s efforts, I am confident we will be able to keep up with regulatory changes, reduce our risk, and improve our overall compliance program. If having a strong, organized, and relevant compliance program is important to you and your firm, I would highly recommend you contact CRC!

    Steven Cohen Managing Director, CCO | Cowen Group, Inc.
  • In nearly two decades of working with financial services execs, I’ve had the honor of working with a number of visionaries. These are often compliance and risk execs who have the ability to see beyond regs and into what matters most to advisors and their clients while still keeping a strong focus on protecting the firm’s reputations. Mitch ranks among the best I have -known. His ability to see his way through a problem to the practical is unique and compelling. I would recommend him without hesitation.

    John Schobel Chief Executive Officer | RegEd
  • Mitch and the CRC team are such a pleasure to work with! I treasure their real world approach to addressing my business’s needs. They never allow anything to go over my head, so I always am kept in the loop. Thanks And Keep up the Great Work!

    Melissa Monette Social Media Marketing Consultant | OpenMoves
  • Jeanine has been a great partner for us. Quick responses, helpful feedback, and a commercial mindset. She understands the needs of our customers and is very strong in understanding key compliance trends. She has earned our trust.

    Scott Davis Melius Research | Founding Partner - CEO
  • The entire team at CRC is vital to everything we do at Melius. Jeanine in particular is a key factor in our team’s ability to deliver high quality content to clients in a faster, more efficient, and higher quality way than we ever thought possible.

    Carter Copeland Melius Research | Founding Partner
  • Compliance Risk Concepts has proven easy to work with. I appreciate their professionalism and speedy responses to my requests. Having been on Wall Street for 20+ years, I find that -- unfortunately -- this isn't always the case with compliance entities. Thank you Compliance Risk Concepts!

    Mark Kalinowski Kalinowski Equity Research LLC | President & CEO
  • Since our firm’s inception, we’ve partnered with Compliance Risk Concepts to help us navigate the compliance process as a new independent equity research provider. Even with an experienced full time Chief Compliance Officer on staff, we found CRC’s services to be extremely valuable to establishing our policies and procedures as well as client onboarding. Mitch helped us understand from the beginning what was required in order to meet and exceed the compliance needs of the buyside, even down to a firm level. From a service perspective he’s been very responsive. Mitch is willing to jump on calls at a moment’s notice and respond to our questions in a thorough and timely manner. Having Mitch and CRC as a trusted advisor augments our firm’s credibility from a compliance perspective that we felt strongly enough to mention CRC’s name on our own company website.

    Tom Palenschat Edgewater Research | Sales, Partner
  • ​Mitch and CRC have, thus far in our relationship, lived up to their promises. And what we value even more is that they’re quick to respond to anything we ask of them, and they’re thoughtful and precise in their responses. We are glad to have come across them in our search for a compliance consultant and are excited to be retaining them for the foreseeable future.

    ​Chris Hamm Independent Financial Partners I Chief Operating Officer
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