Compliance and Regulatory Team

The Compliance and Regulatory Team at CoastalOne is responsible for ensuring that the firm adheres to all regulatory requirements and industry standards. They monitor, assess, and implement compliance policies and procedures, providing guidance to financial professionals to navigate the complex regulatory framework. Additionally, the team conducts training, audits, and risk assessments to uphold the integrity of the services offered, ensuring that advisors can focus on delivering exceptional client service without regulatory concerns.