AML Perfection
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This business consists of helping/rescuing Broker/Dealers (“BDs,” i.e., stock and bond/ Investment Banking/Private Equity/M and A …, etc.) firms from getting into trouble with the Patriot Act and similar [statutes? regulations?]. There are endless rules and regulations in this area, and it’s close to impossible for firms to make sure they are current with the rules and not inadvertently violating them. Nobody really has good procedures set up, so what happens is they get examined by a regulator, the SEC, FINRA or State agencies, and they are promptly fined; or they are in the process of being examined and they start looking for help, so they call their lawyers, they ask other BD owners they know and, of course, they go on line looking for a consultant AML company. Then they choose the cheapest firm they find on the internet, so as there are a shit ton of crappy consulting firms out there, usually they choose the wrong firm and end up having bad results. Then they decide to pay $$$ the next time and still don’t get a good result … which means, since this has been going on for more than a dozen years, that they are ready to take whatever recommendation they get from their attorney’s that entails a consultant with actual experience and doesn’t offer up a lot of bullshit …. That’s us!!!
We have a small team of 4 currently FINRA-licensed (passed exams/series 3, 4, 7, 8, 9, 14, 14a, 24, 27, 28, 53, 55, 63, 65, 79 and 99) working compliance officers and FinOps, each with 25+ years of experience, in retail/institutional, trading, compliance, operations, NYSE floor practices, Investment banking, Private Equity, and SEC/FINRA/State regulation. Additionally, our firm is part-owned by an attorney with serious poker skills. We are pleasant, non-disruptive problem solvers who can be counted on to tailor solutions to your needs and business practices. AML Perfection offers all levels of consultation, annual outside AML audits and WSP updating. Our exam process will improve your firm and prevent regulatory headaches in the immediate present and the future. |
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About Us
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246 West Main Street, #101 New York, NY 10001 (888) 121-1212
