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.
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
- Kenneth Mendoza is a Registrations Associate for RRS with over...
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- Nicole is a Senior Consultant with Renaissance Regulatory Services, Inc.,...
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- Leeza Shurtz is the Financial Reporting Manager with Renaissance Regulatory...
- Jennifer Selliers is a Director, Senior Consultant with Renaissance Regulatory...
- Louis Dempsey is the founder and President of Renaissance Regulatory...
- Bart J. McDonald is the Executive Vice President and Chief...
- Sue is a Director, Senior Consultant with Renaissance Regulatory Services,...
- Jerome Jordan is a Director of Regulatory Compliance Services with...
RRS tailors each engagement to the unique business needs of our clients.
Our Clients recognize our high service standards to provide prompt support when the need arises.
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.
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