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
Registration
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