Compliance with perspective.

What I Do

Most engagements through Summit Compliance fall into one of four areas: keeping ongoing compliance programs running smoothly, delivering independent reviews and testing, and stepping in for targeted projects when a firm needs experienced help on a specific issue.

Ongoing CCO Support

Outsourced, fractional, or interim CCO coverage that includes managing the compliance calendar, testing, reporting, and regulator-facing work for firms that don't need a full-time hire.

Independent AML Testing

FINRA Rule 3310 independent tests for broker-dealers and AML program reviews for firms with BSA obligations. Risk-based scoping covering CIP, CDD and EDD, OFAC and sanctions screening, transaction monitoring, SAR decisioning, training, and recordkeeping. Delivered as a written report formatted for regulator review.

Independent Reviews & Testing

Rule 206(4)-7 annual reviews, FINRA 3120/3130 testing, mock exams, and branch and OSJ inspections, delivered as clear written reports with practical recommendations.

Targeted Projects

Policies and procedures, Form ADV filings, advertising review, gap assessments, exam remediation, and other defined-scope work to close a specific gap.

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