Rnd Compliance
We provide actionable guidance for complex regulatory challenges. Our services include Broker Dealer & RIA compliance solutions, FinOp & Accounting Services, and FINRA Membership & RIA Registration. RND serves all levels of the financial services industry from the firm to the financial professional: Broker Dealers, Registered Investment Advisers (RIA), Fund Managers, OSJs, Branch Offices, Registered Representatives, Investment Adviser Representatives, Spouses of deceased Registered Representatives, Investment Adviser Representatives, all firm staff. Our experts have over 40 years’ experience in FINRA and SEC regulatory and compliance and stay ahead of changes so you don’t have to.
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11 to 50 range
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Decision-makers and verified team members
3 contacts with verified email or phone · masked until revealed.
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Terence Morrissey
Vice President · General Business & Management
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Brian Sweeney
Chief Operating Officer Legal and Regulatory Affairs · General Business & Management
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Top roles at Rnd Compliance
3 distinct titles indexed · top 3 shown.
- 1chief operating officer legal and regulatory affairs
- 1senior regulatory accountant manager consultant
- 1vice president
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