About CRC - Compliance Risk Concepts

What: The SEC announced charges against 12 firms (comprising broker-dealers, investment advisers, and a dual-registered […]

We Provide Top-Tier Compliance Consulting Services

With regulatory aggressiveness at historically high levels, Financial institutions must rethink how they thread the compliance needle and reshape the endless regulatory noise into coherent action that promotes dynamic and impactful risk management processes. At Compliance Risk Concepts, we know that your business doesn’t benefit from compliance advice that’s academic or theoretical. Unlike traditional compliance consultants, CRC’s principal advisors have deep front office capital markets roots that consistently inform the solutions we prescribe to our clients.

Compliance Risk Concepts

CRC is a business-focused team of senior compliance consultants and executives providing top-tier compliance consulting 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.

Small & Large Companies

For companies with no in-house compliance implementation services, we handle ongoing, routine compliance matters at a fraction of the cost of traditional resources including counsel and compliance consulting services. For larger companies that have a CCO, General Counsel or in-house staff, we serve as overflow executives, acting as an extension of the in-house team to review and ensure compliance is working properly, manage spikes in workload or address under-served areas of the business.

Enabling Your Business is Our Business

The mission at CRC is to assist our clients in achieving their financial, operational and strategic goals. We do this by developing a clear and thorough understanding of each of our clients’ business models. We combine compliance and ethics culture, as well technology applications that satisfy compliance and operational processes, with supervision and internal/external reporting requirements. After we assess the inherent and residual risk in our clients’ business, we develop a comprehensive and realistic business-focused plan that will enable long-term, strategic and scalable success.

As career industry Compliance Risk professionals, we understand that in this day and age, it is becoming increasingly necessary to rely on technology to aid / assist in the execution of compliance risk management processes. Given the high volume of transactional activity, introduction of new products and services and unprecedented regulatory change in a weak economy, organizations must contemplate how they will survive and make the best use of resources – essentially “do more with less.” CRC Compliance consultants 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.