Investment Compliance was formed in 2000 to provide firms an outsource solution to meet their annual regulatory required audits, examinations and unbias independent testing. Our team is available and on call when you need on site compliance audit/exams as required by your firms compliance or member firm.

On site internal compliance exams such as the annual cycle exam, heighten compliance exam, “AML” anti-money laundering and RIA exams are conducted using the hiring firms’ 3^rd party compliance vendors’ software and or templates such as with the RegEd format and Compliance Temps. Such an internal audit can provide a client the ability to write a regulatory compliance exam with specific current needs analysis and any specific areas of concern.

BIO:  Elbert Pope
Regulatory Compliance Consultant

Elbert Pope is the owner of Investment Compliance. Elbert began working in the financial services industry in the 1980’s as a registered representative and currently holds various licenses including the series 7, 63, 24 various insurance licenses and "CRCP" credits from FINRA Institute-Wharton Certificate Program for Professional Development.