Tired of scrambling to keep up with ever-changing regulations?

Confluence Compliance Services offers a comprehensive suite of compliance services designed to empower your firm to increase confidence and efficiency while controlling risk. Count on our regulatory expertise, technology, and managed services to strategically translate regulatory requirements into operational effectiveness.

Make our experts your experts

Our team of seasoned experts, averaging 25 years of experience, understands the challenges you face. We leverage our in-depth knowledge and broad capabilities to help you:

• Build a robust compliance program: We’ll guide you through every step, from registration to ongoing maintenance.
• Streamline operations: Reduce costs and improve efficiency with automated tools and expert guidance.
• Mitigate risk: Identify and address potential problems before they escalate.
• Gain a competitive edge: Focus on core business activities while we handle your compliance needs.

Count on Confluence to simplify compliance

We offer regulatory expertise, technology, and managed services, including:

• Regulatory Consulting
• Compliance Management
• Outsourced Compliance
• Cybersecurity
• Examination and Enforcement Support
• Mock Exams, Risk Assessments, and Annual Reviews
• Registration
• Anti Money Laundering Independent Exams

We serve a wide range of financial services firms, including:

• Asset managers
• Wealth managers
• Private funds
• Broker-Dealers
• Investment advisers
• Legal firms
• And more

Ready to learn more?
Discover how Confluence can help you take control and streamline your compliance program. Ask for a complimentary consultation to help us better understand your needs.

Confluence - Expertise. Efficiency. Peace of Mind.