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.
Read More Contact Us
Turning Risk Into Reward For Your Organization
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.
Read More The Compliance Problem
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.
Read More Contact Us

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.

Compliance Blog

Stay Up To Date with CRC Blog

Monthly Regulatory Summary (November 2023)

The Compliance
Problem

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.

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

View All Members Join CRC

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
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.
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
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
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

San Francisco-based Coinbase makes Wall Street Debut

Pros and cons of investing in bitcoin

Executive Leadership and Team

partners

testimonials

Flip Book

Download Flip Book

Stop Hunting and
Gathering and Start
Analyzing and Guiding

Turning Risk Into Reward For Your Organization

CRC Professional Services Model & Verticals

Compliance Risk Concepts