Compliance Exchange Group is a premier Broker-Dealer compliance consulting firm in United States

Finance

FinTech

Compliance Exchange Group LLC

Compliance Exchange Group LLC's headquarters in Hauppauge, NY, United States

Christopher Driscoll

James Christopher Felle

Brian Zwolak

Brent Western

Angela Ekpa

The Regulatory and Compliance Team at Compliance Exchange Group LLC is responsible for ensuring that the firm and its clients adhere to all relevant regulatory standards and compliance requirements. This team conducts risk assessments, develops compliance programs, and monitors industry changes to mitigate risks, while also providing guidance and support to broker-dealers to maintain ethical practices and regulatory adherence. Their expertise helps foster a culture of compliance within the organization, ensuring trust and integrity in all operations.

Regulatory and Compliance Team

The Leadership Team at Compliance Exchange Group LLC is responsible for setting the strategic direction and operational oversight of the firm. Comprising key executives such as the Chief Compliance Officer and CEO, this team ensures that all consulting services align with industry regulations while fostering a culture of compliance and ethical practices across the organization. Their collaborative efforts focus on driving growth, enhancing client relationships, and maintaining the firm's reputation as a leading compliance consulting authority.

Leadership Team

The Procurement and Business Development Team at Compliance Exchange Group LLC is responsible for identifying and securing strategic partnerships, optimizing procurement processes, and driving business growth. This team collaborates closely with vendors and clients to enhance service offerings while ensuring compliance with industry regulations. They play a pivotal role in expanding the company’s market presence and improving operational efficiency.

Compliance Exchange Group LLC

Org chart

Teams

Regulatory and Compliance Team

Leadership Team

Procurement and Business Development Team

Offices

Compliance Exchange Group LLC

Org chart

Teams

Regulatory and Compliance Team

Leadership Team

Procurement and Business Development Team

Offices

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