JE Compliance Consulting, LLC

JE Compliance Consulting, LLC provides a wide range of securities compliance services in a changing regulatory environment.


Jay Esche, Managing Member

Jay has worked in the financial services industry for over 25 years.        His experience includes 16 years as a regulator with Florida’s Office    of  Financial Regulation. While he was with the State of Florida, he managed the West Palm Beach office.  Additionally, he has four years of experience with a major wire house in operations and compliance and 6 ½ years working with a compliance consulting firm.        Having started his own regulatory compliance consulting firm in 2013, he is based in the Greater Atlanta Area and has clients nationwide.


Consulting Services

Services for Investment Advisors

Registrations for Investment Advisor Firms and Investment Advisor Representatives

Regulatory Filings

Form ADV

Mock SEC and State Examinations

Policies and Procedures Manual

Code of Ethics

Privacy Policies

Solicitor Agreements

Advertising Review

CCO Support

  Electronic Communications Review

  Personal Trading Compliance and Review    

Services for Municipal Advisors


Regulatory Filings

 Form MA

 Form MA-I

Municipal Advisor Policies and Procedures

Mock Examinations

CCO Support

Services for Broker Dealers

New Member Applications (NMA)

Continuance of Membership Applications (CMA)

Form BD, BD-W

Form BR, BR-W

Form U4, U5

Exam Waiver Requests

Broker Dealer Written Supervisory Procedures

Annual Compliance Meetings

Continuing Education Needs Analysis / Training Plans

AML Independent Reviews

Mock Regulatory Exams

Branch Office Reviews

CCO Support

 Employee Account Reviews

 Electronic Communications Review

Advertising Review

Contact Us

Email JE Compliance Consulting

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JE Compliance Consulting, LLC

(706) 974-7979


Monday - Friday: 9am - 5pm