COMPREHENSIVE AND HOLISTIC COMPLIANCE SOLUTIONS THAT ARE SCALABLE, CUSTOMISED AND COST EFFECTIVE

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.

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    Pro-active approach to evolving regulatory challenges.

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

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