We work with broker-dealers, registered investment advisors and private equity funds to build and fortify robust compliance foundations. We help firms devise immediate and long-term compliance solutions that enhances efficiency, while simultaneously avoiding costly penalties, mitigating reputational risk and bolstering investor confidence.

Compliance is more than a set of rules and regulations to follow, it is a mindset. We at DuMont Consulting understand that compliance functionality must be a firm wide effort. With over two decades of experience building and maintaining compliance programs we understand successful compliance solutions do not happen in a silo. It is an organization wide, collaborative effort that requires enthusiastic buy in from all levels of a firm, from the C-suite to junior team members.