Expert Compliance Support, Your Best Investment Yet: NCS Regulatory Compliance

“Combining what we know with what technology can do – leading the way in regulatory compliance.”

NCS Regulatory Compliance offers the deep investment adviser and broker-dealer expertise and proven compliance knowledge that makes the critical difference to its clients. As regulatory intricacies become more complex and change more frequently, NCS Regulatory Compliance’s experts remain on the cutting edge, leveraging decades of experience and the latest technology innovations to simplify and streamline the registration process and managing your ongoing compliance requirements. The result of a merger in 2015, NCS Regulatory Compliance unites two of the nation’s longest-serving regulatory compliance leaders – National Compliance Services, Inc. and Regulatory Compliance, LLC. Each with more than 20 years of experience in the registration and compliance consulting space, the privately-held companies both have a history of strong growth and impressive results for clients. The merger allows the exceptional teams from each firm to come together to maximize the intelligence and services available to its clients.

As a client and partner of NCS Regulatory Compliance, you’ll receive access to our comprehensive suite of registration, compliance, and regulatory accounting services, as well as the thought leadership and expertise of some of the most notable professionals in the industry. Together as your trusted partner, NCS Regulatory Compliance will ensure that you avoid compliance issues, giving you peace of mind and the opportunity to focus on your core competencies, while we focus on ours.

Compliance Services Offered

NCS Regulatory Compliance offers more than 20 years of expertise from two of the nation’s most trusted registration and compliance consulting firms, National Compliance Services and Regulatory Compliance. With the knowledge and track record of addressing the most complex regulatory requirements, and the practical experience to manage your daily and monthly compliance assistance activities, NCS Regulatory Compliance is your true partner for audit protection and much more.

Benefits as a Compliance Assistance Partner: Your compliance fitness is paramount to the success and longevity of your firm. NCS Regulatory Compliance understands the intricacies of the regulations that affect your daily operations, and will offer peace of mind for all aspects of your operations. Partnering with NCS Regulatory Compliance allows you to:

• Avoid the costs and time to build, and maintain, an in-house compliance department
• Prepare for real audits with mock audits, so there are no surprises
• Maintain seamless compliance in all your operations, so you can focus on your core competencies

Compliance Assistance Service Levels: Through careful reflection on the needs of our clients, we have established various service levels that build upon each other to offer you the right-fit compliance solution. Within each service level, there is room for basic, advanced, and even fully outsourced levels of customization. Whatever your need, NCS Regulatory Compliance provides a service model that’s right for you.

Clientele Manifestoes

“We really appreciate all the help and expert guidance you and your team have provided. Your compliance services and web-based tools make registering and running our business so much easier, instead of feeling intimidated by all of it. So thank you very much!”

- Peter Swann, CEO, Starr Financial Resources

“I have never felt better about understanding the requirements of compliance and feeling like Lovett Advisors is doing things in proper order. I have never worried about ethics, but all the compliance details can be daunting. I have no one else to thank but you. Your expertise and service are outstanding.”

- Kim Lovett, Managing Member/CCO, Lovett Advisors

The Head Persons

Rita G. Dew, Co-CEO: Rita G. Dew is the founder of National Compliance Services, Inc. and now Co-CEO of NCS Regulatory Compliance. Prior to her current role as Co-CEO, Ms. Dew established a software development company, ProFormware, Inc. that developed and provided specialized products to the financial securities industry. She received her undergraduate degree with a dual major in Finance and Computer Information Systems. She went on to earn her Juris Doctor from Nova Southeastern University School of Law. Ms. Dew was among the first to earn the designation of Certified Regulatory and Compliance Professional (CRCP) by FINRA and the Wharton School. She also held the FINRA Series 27, Financial and Operations Principal exam, and served as the FINOP for several FINRA member firms. Throughout her career she has been involved in a broad diversity of experiences with investment adviser and broker-dealer firms. She is also a managing partner of the law offices of Dew, Foxman and Haugh, PLLC and a member of the Florida Bar.

Stephen J. Sussman, Co-CEO: Stephen J. Sussman founded Regulatory Compliance, LLC in 1989 and is now Co-CEO of NCS Regulatory Compliance. Sussman’s background includes compliance consulting support to broker-dealer and investment adviser firms worldwide. He has particular expertise in broker-dealer accounting practices and is well versed in SEC-regulated accounting procedures. Prior to his current role as a compliance consultant and a FINOP for registered broker-dealers, he performed exams of SEC-registered investment companies and was a senior examiner with FINRA (formerly NASD) in New York and Boston. He has an MBA in Finance from Hofstra University, an undergraduate business degree from The State University College of Buffalo and an Accounting Certificate from Northeastern University. He currently holds the FINRA Series 7, 24, 27 and 63. He has been a Licensed Certified Public Accountant for over 25 years and had performed numerous certified audits of SEC Registered Broker-Dealers.

“Our knowledgeable consultants work closely with you to analyze your compliance needs and develop a strategy that is effective and easy to implement, while anticipating and planning for future regulatory changes.”