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Securities Compliance Management Employee Directory

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.

Find Securities Compliance Management employees' phone numbers or email addresses

Securities Compliance Management Global Highlights

Location
Employees

North America
19

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  • United States Of America
    19

Securities Compliance Management's Leadership

  • Stylized image of a person
    N. R.
    Principal
    Mobile Phone

Securities Compliance Management Employee Metrics

100%
50%
0%
2026
2025
  • Legal
  • Accounting
  • Banking
  • Business
  • Consultant
  • Other
  • Finance

Contact profiles from Securities Compliance Management

Name
Title
Contact
Location
Last Update
  • Stylized image of a person
    N. R.
    Principal
    Mobile Phone
    Oct 24, 2024

Frequently Asked Questions

What is Securities Compliance Management known for?

Minus sign iconPlus sign iconSecurities Compliance Management was founded in 2003 operates in the Financial Services industry; you can contact the main corporate office by phone at
+1-404-841-****
. Explore Securities Compliance Management's company overview page for more information.

What is Securities Compliance Management's most common email format?

Minus sign iconPlus sign iconSecurities Compliance Management employees' email format typically follows the pattern of . Trying to find reliable and up-to-date employee contact data? Find more Securities Compliance Management email formats with LeadIQ.

How many employees does Securities Compliance Management have currently?

Minus sign iconPlus sign iconSecurities Compliance Management has approximately 9 employees as of July 2026. These team members are located across 1 continents, including North America.

Who are Securities Compliance Management's key employees and leadership?

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As of July 2026, Securities Compliance Management's key employees include:

  • Principal: N. R.

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