
Quadrant Regulatory Group
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Overview
2 - 9
Employees
2011
Year Founded
ABOUT QUADRANT REGULATORY GROUP
Your Guide to Compliance
Quadrant Regulatory Group offers Broker-Dealers and Registered Investment Advisors services that help ensure adherence to SEC, FINRA, MSRB, NFA, SRO, and state securities regulations. The company provides expert advice, continuous support during regulatory audits, compliance assistance, testing, as well as financial and accounting services. Additionally, Quadrant boasts a team of Certified Anti-Money Laundering Specialists who conduct independent evaluations of firms' anti-money laundering compliance programs.
LANGUAGES SPOKEN
English
HIGHLIGHTS
2 - 9
Employees
2011
Year Founded
Services
Focus
Industries
Clients
Services Provided
40% Compliance Consulting Services
20% Audit Services
20% Accounting Services
20% Anti-Money Laundering Services
About the Team
OUR STORY
Quadrant Regulatory is a distinguished compliance consulting firm led by former regulators and seasoned industry experts, bringing over a century of combined experience to the financial services sector. Specializing in bespoke compliance solutions, they assist broker-dealers and registered investment advisers—from small teams to extensive compliance departments—in developing tailored compliance programs. Their services encompass Written Supervisory Procedures, CRD administration, regulatory examination management, annual testing, and specialized projects. With a deep understanding of regulatory expectations and business operations, Quadrant offers flexible engagement models, including hourly, project-based, or ongoing support. Committed to fostering sound compliance cultures, their seasoned professionals guide firms confidently through complex regulatory landscapes, ensuring adherence to all applicable rules and regulations.