Sound Compliance Services Llc Careers in Seattle, WA

Sound Compliance Services, LLC is a regulatory and compliance consulting firm owned and supported by experienced Chief Compliance Officers and Chief Operations Officers. We know the balance that is necessary for a start-up or existing Investment Adviser, Broker Dealer or Hedge Fund Adviser to do business. We don't sell products; we provide services that are customized for you and your firm. We facilitate your compliance program through a partnership and support program, customized for you and your budget. We also provide a CCO support service or function for you as the CCO or for the firm when the CCO wears multiple hats (and cannot dedicate the time or resource necessary to get the job done). We believe we are experts in what we do: - New IA or BD Registrations - Compliance and Operational Program design and implementation - Establishment of "breakaway broker" registrations - Independent CCO services (in support of or as an "outsourced" CCO) - Training and education - Risk assessments