ABOUT US
Taurus Compliance Consulting, LLC specializes in providing a full range of regulatory compliance, AML Audit and advisory services for broker-dealer firms as well as privately held and public companies.
Whether it is a mock FINRA exam, AML Audit or a mock SEC audit, Taurus Compliance Consulting, LLC has the necessary resources to bring your firm into compliance.
The Taurus Compliance Consulting consulting team is comprised of a network exceptional professionals who possess unquestionable integrity and many cumulative years of experience in the financial markets that include securities industry regulation, brokerage operations, legal, management, and accounting.
OUR APPROACH
Exceptional Approach
Securities compliance is the backbone of any broker-dealer. Securities firms must strive to maintain the highest compliance principles in order to protect their customers and their business.
Taurus Compliance Consultants offers a complete approach to the resolution of compliance matters, providing a suite of compliance services that can be customized to the needs of our clients.
We ensure that compliance is not only at the core of business operations, but that we monitor the way that compliance works in partnership with all moving business parts. Our approach ensures that business units work harmoniously, bridging the gap between business operations and compliance, to produce your desired business results.
WHAT WE DO
COMPLIANCE SERVICES
The Role Of Compliance
Robust compliance programs work to build solid business practices and self regulatory processes within financial organizations. At Taurus, we oversee each and every compliance function for our clients, ensuring adherence to regulatory requirements through implementing the following:
- Ongoing monitoring and surveillance of business transactions and communications.
- Advisory, monitoring and education roles to support the organization’s compliance will self regulatory (SRO) rules and regulations.
- Providing regulatory and compliance advice to business control units on an ongoing basis.
OUR BLOG
Latest News
News Feeds
- Election Notice - 9/25/2023Summary The purpose of this Election Notice is to (1) notify members of an upcoming election to fill two large firm seats and one mid-size firm seat on the National… Read more »
- Election Notice – 9/11/23Call for Candidates for Upcoming FINRA Small Firm Advisory Committee Election Read more »
- Election Notice – 9/11/23Summary The purpose of this Notice is to notify member firms of the upcoming nomination and election process to fill vacancies on FINRA’s Regional Committees. The Regional Committees play an… Read more »
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