C O M P L I A N C E  R I S K  M A N A G E M E N T

Serving both US and non-US based firms requires us to provide a wide range of expertise always tailored to the individual needs of the client. For this reason, CRMI has collaborative partnerships with other exceptional professionals in related areas:

Compliance Executive Recruiting

JM Capital Market Services Inc. - For over 15 years JM Capital and its founder, John Mittler, has been an industry leader in all aspects of placing executives with legal and non-legal compliance backgrounds. Firm covers the full spectrum of large institutional and retail broker/dealers and banks within the US. JM Capital Inc. has sustained a reputation of excellence by providing clients with the most qualified candidates for positions in all areas of regulatory expertise found in broker/dealers to include advisory, investment banking, control room, fixed income, equities, derivatives, registration, research, anti-money laundering and operations Placement compensations range from the $100,000 to $800,000 level. Email contact: JMCapital@aol.com

Outsourcing Regulatory Practice

Kapco Group Inc. - An industry leader in broker/dealer compliance outsourcing to include new member registration process, customized policies and procedures in all areas of financial regulation, mock FINRA audits, anti-money laundering exams, OATS, ACT and TRACE exams, business continuity and annual certifications support. With over 40 years experience Kapco provides the small and medium sized firms with major firm compliance support at affordable rates. Kapco also provides on-site CCO services on a contractual basis.

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