Manage Through Change

Renaissance Regulatory Services, Inc. is founded on the premise that the financial services industry is constantly changing.  New products and services, changing regulations and globalization create unique issues in compliance and operations for firms of all sizes and business models.  In order to Manage Through Change, firms must have the ability to quickly recognize and respond to the compliance and operational challenges that arise.

RRS supports firms in this mission by providing comprehensive compliance and operational consulting and support services in a customized format. Our services are individually tailored for broker-dealers, investment advisers, hedge funds, registered business development companies, and investment companies. Specializing in SEC and FINRA compliance examinations, written supervisory procedures, internal controls, financial reporting, and registration services, RRS’ staff has the experience and insight to meet all your regulatory and compliance needs. Services are customized to your organization’s operations and can be performed on site or remotely. RRS’ consultants and partners consist of former regulators and compliance professionals who possess extensive compliance and operational experience with SEC, FINRA, and state rules and regulations necessary to address virtually any issue.

Let RRS help you Manage Through Change.

Job Opportunities

RRS looks for experienced industry professionals who wish to be part of an organization dedicated to providing high quality services to our clients while maintaining a level of independence to expand their professional expertise. RRS offers a generous benefits package. The ideal applicant will have 3 – 5 years regulatory expereince with the SEC, FINRA, CFTC, NFA, or a state regulatory agencies or similar industry experience.

Read more

Management & Staff

Advantages

Customized Solutions

RRS tailors each engagement to the unique business needs of our clients.

Rapid Response

Our Clients recognize our high service standards to provide prompt support when the need arises.

Experience

RRS’ consultants and partners consist of former regulators and compliance professionals who possess extensive compliance and operational experience with SEC, FINRA, and state rules and regulations necessary to address virtually any issue.

Skills

Regulatory Expertise

The RRS team has extensive experience with SEC, FINRA, and state regulatory requirements applicable to investment managers, funds, and broker-dealers. We work with a wide range of buy side and sell side firms accross the country.

  • Net Capital
  • Risk Management
  • Trade Surveillance
  • Sales Practice Supervision
  • AML Program Testing
  • Form ADV/BD
  • Code of Ethics
  • Public Communications
  • Social Media
  • Due Diligence
  • Supervisory Controls
  • Registrations

Sample Engagements

"Compliance Examinations RRS teamed up with the compliance department of a large regional broker-dealer to review and update their branch inspection plan, and subsequently assisted the firm in implementing the inspection program. ... "