Our Focus

MasterCompliance, LLC is a leading provider of compliance management solutions to the financial services industry. While our primary focus is to partner with broker-dealers and registered investment advisers, we are actively seeking partners within other sectors that wish to utilize our proprietary technologies and strategies.

We pride ourselves not only on our expert advice, but also on the variety of product offerings that give our clients the ability to build a solid compliance program. Our primary objective is to simplify the job of compliance and supervision.

Today, many facets of our operations allow us to provide best-in-class service to our clients and make us a leader in compliance management.

What is “compliance management"? “Compliance management” is a term that we use to describe the system used by a firm to ensure that it operates a robust and effective compliance program. “Compliance management” has several key components, including, among other things, organization, efficient allocation of resources, delegation of responsibilities, effective management and leadership, appropriate training, policies and procedures tailored to the firm’s business, and documented compliance reviews.

We offer a wide range of compliance management solutions to help your firm establish, implement, and maintain an effective system for achieving compliance with the securities laws, rules, and regulations governing its business.


Start a Broker/Dealer, Buy/Sell a Broker/Dealer, Other Applications (Form CMA), FINOP, CRD Administration, AML Audit, and more.

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New RIA Startup, ADV Part 2A and 2B, Wrap Fee Brochure, Code of Ethics, IARD Administration, Annual Filings, Risk Assessments, Advertising, and more.

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Other Broker Dealer and Registered Investment Adviser Services:

Expert Consulting

Compliance Management


Compliance Technology





Build a Compliance Calendar

Risk Assessment

Annual Filings

Deadline Management

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The Ultimate Solution for Compliance Management
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The complex and ever-growing set of regulations and laws governing the securities industry creates many challenges for the financial institutions that must comply with them. Compliance is not just what you know, but more importantly, what you don't know. The enforcement stakes are high and an audit score of 99% could result in a failure.

For those of you who are experts, compliance is something that you have to teach and delegate to others. Compliance takes a great deal of organization and discipline. Compliance doesn't just happen in a day; rather, it is ongoing process that must occur throughout the year.

Too often, we come across prospects that desperately need to fix a failing compliance program. In many cases, the gaps in these compliance programs are not detected until it is too late. Perhaps, the firm put too much trust in one employee. Consider the consequences of losing a key person, such as your firm’s Chief Compliance Officer. How would your firm replace this position with only two weeks’ notice? There is just too much ground to cover.

MasterCompliance is your firm’s solution and the all-in-one compliance management company.

We pride ourselves not only on our innovative products, but also on our people. Our clients remind us daily of how much they value our team and services. Our people have skills and experience in a broad range of fields, including legal, regulatory, operations, accounting, supervisory, trading, data analysis and technology.

  • Identify and Manage Risk
  • Optimize Performance
  • Audit Readiness

Improve Audit Results

Proactive not Reactive

Gain the Required Knowledge

Maximize Resource Allocation

Streamline Processes


Identify and Mitigate Risk

Optimize Performance

Audit Readiness

Custom Procedures

Custom Controls

Continuing Education

Our Message to you

For More Information About Our Technology Services

MasterCompliance has proven to be a leader in the space of compliance management for over a decade.

Don’t take our word for it. Call today and you’ll see why MasterCompliance is the leader in compliance solutions.

We’d like to hear from you

If you have any questions or would like to schedule a demo, please contact us and we will get in touch with you shortly.