We’ll pressure test your compliance and supervisory systems before they’re put to the real-world test and specify detailed changes to prevent violations. FrontLine Compliance’s detailed forensic analysis mimics how SEC examiners perform their work and as former examiners ourselves we know exactly how to connect the dots.
The end goal is to help you work smarter, not harder at compliance.
A talented group that offers the advantage of former regulatory insiders – it’s expertise we value in today’s heightened regulatory environment.
No other compliance consulting firm performs forensic testing like us. FrontLine Compliance’s proven method remains unmatched over almost two decades of performing these services, resulting in the best client SEC exam success rates in the industry. Since the SEC expects a firm to be testing its compliance program continuously, we offer a compliance program support program that does that and much more!
FrontLine Compliance creates a program of routine compliance testing that is customized for each client and performed by industry experts that get to know your firm inside and out. We follow the same forensic methods that actual SEC examiners perform, and we do this by training our staff on the methods utilized by SEC examiners. Our founder, Amy Lynch (a former SEC Examiner), is directly involved in the training process of all our consultants to ensure the quality and “deep dive” nature of our process remains intact for all clients.
Forensic Testing is rotated by topic across the compliance program on a quarterly basis with a written deliverable at quarter end for each testing rotation. This detailed analysis on a regular basis continuously prepares your firm for an actual SEC exam as well as makes for a seamless Annual Compliance Review at the end of the year. All testing becomes support for the Annual Review to substantiate your compliance efforts to the SEC.
NEW – Artificial Intelligence (AI) Testing Program. Learn more on how to test your firm’s use of AI and integrate it within your compliance.
Our consultants understand how to take a deep, forensic approach because they are all seasoned experts. There are no junior consultants at FrontLine Compliance. We understand that you come to us for expert assistance and need your questions answered immediately, not a week or two later.
All services offered by FrontLine Compliance include access to our secure project management system, scheduled video meetings, and 24-hour response times, M-F. We are here when you need us!