To meet rigorous regulatory expectations and requirements, it is imperative that organizations have access to “best in class” talent that has extensive knowledge of the businesses being supported. CRC is staffed with a team of Compliance Risk Management industry professionals that have a proven track record of establishing comprehensive Compliance Risk Management Programs throughout many industry verticals.

We offer compliance consulting services in the following industries:

Financial Services
Anti-Corruption & Ethics
Technology Industry Compliance
Enterprise Compliance Risk Management
Research Supervisory Analyst
Expert Witness Service
Financial Operational Principal Services

With headquarters in New York, NY, and offices in Chicago, IL, and Westport, CT, CRC is your full-service Compliance Risk Management support partner. Please feel free to contact us with any questions related to the services and solutions described and we would be happy to schedule a call / meeting to further determine your individualized needs and requirements.

CRC specializes in executing and overseeing the following: New Member Applications | Continuing Member Applications | Annual CEO Certifications | Independent AML Reviews | Conflict of Interest Reviews | Expert Witness Testimony | 15c3-5 Certifications | MCDC Oversight | Trading Surveillance | Best Execution Analysis | Swap Dealer BCP Independent Reviews | Investment Advisor Gap Analysis | Industry Surveys/Studies | Public Speaking Engagements | Written Supervisory Reviews | Regulatory Relations | Examinations | Dodd-Frank | Volcker Rule | Broker Dealer Compliance | Sales Practice | Bank Compliance | System Implementations | Equity and Fixed Income Markets | Research | BSA / AML | Regulatory Reporting

Banking

Risk & Compliance

Trading & Exchanges

Compliance Risk Concepts (CRC)

Mitch Avnet

Patrick Spiroff

Jason Wachtel

Jared Amster

Darren Norwood

Roland Reyes

David J. Amster

Kristy Wright

Michael Durette

Regulatory Compliance

Business Operations

Leadership Team

Investment Advisory Team

Compliance Risk Concepts (CRC)

Org chart

Teams

Regulatory Compliance

Business Operations

Leadership Team

Investment Advisory Team

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