Providing Expert Regulatory Consulting When you Need it Most
Your trusted partner in financial regulation readiness
Providing Expert Regulatory Consulting When you Need it Most
Your trusted partner in financial regulation readiness
Expert Compliance Solutions
FinGuard Compliance LLC specializes in providing comprehensive compliance consulting services for financial institutions and businesses. Our team ensures your organization meets all regulatory requirements efficiently and effectively.
Welcome to FinGuard Compliance, LLC
My Story
My Services
My Services
I started FinGuard Compliance, LLC with one goal in mind, provide top tier consulting services for financial services companies and companies of alternative products to meet all state and federal regulatory requirements. I have over 20 years experience in the financial services industry as a trusted advisor to CEO's and Boards. I blend l
I started FinGuard Compliance, LLC with one goal in mind, provide top tier consulting services for financial services companies and companies of alternative products to meet all state and federal regulatory requirements. I have over 20 years experience in the financial services industry as a trusted advisor to CEO's and Boards. I blend legal rigor with operational pragmatism. I have played a central role in launching and scaling products, ERM platforms, bank-fintech partnerships, and complex state and federal examinations.
My Services
My Services
My Services
As a licensed attorney and compliance governance subject matter expert I provide consulting services in policy and procedure management, vendor management creation and oversight, bank-fintech partnership compliance management, enterprise risk management oversight, compliance governance, and state and federal examination oversight, as well as, many other services.