Manage Through Change
Renaissance Regulatory Services 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 experience with the SEC, FINRA, CFTC, NFA, or a state regulatory agencies or similar industry experience.
For more info e-mail us at
Careers@RRSCompliance.com
Our Team
Lisa Paygane
Lisa Paygane is the Vice President and Director of Registration...John E. Pinto
John Pinto is a Managing Director at Renaissance Regulatory Services,...Bart J. McDonald
Bart J. McDonald is the Executive Vice President and Chief...Louis Dempsey
Louis Dempsey is the founder and President of Renaissance Regulatory...Catalina Rivera
Catalina Rivera is the Marketing Manager with Renaissance Regulatory Services,...Sarahy Poncela
Sarahy Poncela is a Senior Consultant, Compliance Services for Renaissance...Ken Mendoza
Kenneth Mendoza is a Registrations Associate for RRS with over...Md Mostafa Asef Rafi
Md Mostafa Asef Rafi is the Financial Reporting Manager with...Linda Stump
Linda Stump is a Compliance Consultant for Renaissance Regulatory Services,...Leeza Shurtz
Leeza Shurtz is the Financial Reporting Manager with Renaissance Regulatory...Jennifer Selliers
Jennifer Selliers is a Director, Senior Consultant with Renaissance Regulatory...Jerome Jordan
Jerome Jordan is a Director of Regulatory Compliance Services with...
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 across 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
