Regulatory Intelligence Compliance Solutions Inc.
RICS Regulatory Change Management System™ :
- Branch Office Audit Tool
- AML Audit Tool



Regulatory Intelligence Compliance Solutions Inc., founded by former regulators and industry compliance professionals, is a strategic consulting firm specializing in compliance services for the securities industry. We have extensive experience on a wide range of issues as well as strong relationships with Industry Regulators. We can therefore offer a wide variety of services to assist you with your compliance needs.

These times have been marked with unprecedented regulatory scrutiny of the Broker/Dealer Industry. In the face of this scrutiny, as well as significant industry and regulatory developments, we will work closely with your management team to meet the firm's regulatory obligations and further enhance the culture of compliance throughout the firm. In this ever-changing regulatory world, the firm will provide your management team with the knowledge, skills and tools they need to be effective.

Our objective at Regulatory Intelligence Compliance Solutions Inc. is more than just superior service it's becoming part of your team and building lasting meaningful relationships. We will take the time to get to know your goals and objectives and dedicate ourselves completely until all your needs are met.

  • Regulatory Intelligence Compliance Solutions' professionals will provide customized consulting services and solutions which include but are not limited to:
    • Provide GRC regulatory audit/eLearning solutions to the financial services industry
    • Educate and train firms to create audit programs, continual compliance testing and training

To learn more about our solutions and services and how we can help manage your world of compliance please review our website at or call us at (201)-995-0986.

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Branch Office Audit.PDF Branch-Office-Audit.pdf Independent-Test-for-Bank-AML-Program.pdf