Securities Compliance Management Email Format

Financial ServicesGeorgia, United States2-10 Employees

Securities Compliance Management is a consulting firm that focuses on compliance programs for broker-dealers and registered investment advisers. It uses a risk-based approach and automated compliance technologies to support ongoing oversight. The firm operates a proprietary software platform called MasterSupervision to help meet regulatory requirements while reducing administrative time and resources.

Based in Alpharetta, Georgia, the company serves financial services clients seeking strengthened supervisory controls and streamlined document management. As a small firm, it emphasizes blending governance with technology to reduce risk and improve program performance for its clients.

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