Securities Compliance Management, Inc., also doing business as MasterCompliance, is a full-service compliance consulting firm, including supervisory, regulatory, operations, financial reporting, accounting, AML audit, procedures, 206(4)-7 annual RIA reviews, technology solutions, etc. (see our websites below for more information on products/services).  We specialize in advising broker-dealers and registered investment advisers on the management of their compliance programs “Compliance Management”.  chicken scream app downloadWe are based in Alpharetta, GA (just outside Atlanta) and we currently employ over 20 individuals based in Atlanta, GA; Charlotte, NC; Dallas, TX; Raleigh, NC; Los Angeles, CA; and St. Louis, MO.  We have been in business now for over 14 years and are continuing to expand our client base and products.
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“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.  It has several key components, including, among other things, the following: 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.

Considering the complexity of compliance for small- to mid-size firms, we have designed software that serves as a Compliance Management system for broker-dealers and investment advisers.  The software enables our clients to automate a wide range of compliance tasks.  In addition to automating tasks, the software provides templates for each task with overviews containing relevant information and instructions on how to perform the task.  A primary objective of the software is to allow our clients to select the tasks to be assigned by our system based on factors chosen by the firm, such as the supervisors (or designees) to be assigned each task, task frequencies, and task due-dates.  The software includes performance reporting so clients can see how well they are performing based on various metrics, such as number of tasks completed.  The software also enables the reviewer to escalate a task to a supervisor if he/she identifies a red flag during performance of the task.  Furthermore, we have tied our software to a training portal that complements the tasks and further helps our clients learn compliance.

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.

Lastly, our primary objective is to simplify the job of compliance and supervision.  Today, the many facets of our operations allow us to provide best-in-class service to our clients and make us a leader in effective Compliance Management.