CS2 provides compliance and operations solutions to financial services enterprises located throughout the US. We believe it is vital to have actual in-house experience to be effective, therefore, all consulting staff are required to have served in senior leadership roles in the investment adviser and/or broker/dealer space, most having performed in CCO and/or operations management roles.
With decades of industry experience, our team of seasoned professionals has trained and supervised hundreds of associated personnel engaged in the investment advisory services, securities brokerage, insurance or pension consultancy activities, as well as extensive review experience of firms and their branches throughout the US.
CS2 is engaged by an array of firms across the country for outsourced compliance and operations, new firm start-up, due diligence, and regulatory liaison roles. They also serve as subject matter experts and have authored/edited scores of courses involving SEC/CFTC monitored securities and investment advisory activity, alternative investments, ethics, insurance, and examination preparation courses.
The firm’s principals are regularly asked to speak to industry groups involving compliance matters, author periodicals involving securities and investment advisory topics/ethical business practices, and provide industry expert review to securities attorneys for both claimant and respondent matters.