You don’t often hear “excellence in Compliance” yet that is what we deliver to our clients, that we partner with. 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.

About Our CEO

Susan DuMont - Reliable Compliance Expertise with Cost Effective Solutions

Susan Dumont Reliable Compliance Expertise with Cost Effective Solutions

Susan DuMont

Reliable Compliance Expertise with Cost Effective Solutions

Compliance executive, operations leader, and process specialist, Susan DuMont has more than 25 years of leadership experience in the financial services industry, including the past 20 years in multiple senior management roles. As a Chief Compliance Officer, Administrative Partner, and Chief Financial Officer, Susan has demonstrated the expertise to navigate companies through a complex and constantly changing regulatory and technological environment.

As a compliance consultant and CEO of DuMont Consulting, Susan designs customized compliance programs to meet the needs of a diverse clientele, including small to mid-sized Broker Dealers, Registered Investment Advisers, and Privtae Equity Funds. She has established a reputation within the financial community as a compliance innovator, with a track record of minimizing reputational risk and regulatory scrutiny.

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Pro-active approach to evolving regulatory challenges.

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    Why Out Source

    In-house compliance departments are often overwhelmed and understaffed resulting in a compliance program that is 100% reactionary in nature rather than implementing a robust compliance infrastructure that is also proactive.



    Risk Management


    When your people get up very day wanting to come to work, succes happens. We help to ensure everyone’s in their right job well motivated and properly rewarded.