Compliance executive, operations leader, and process specialist.
Compliance executive, operations leader, and process specialist.
DuMont Consulting provides comprehensive Conflict of Interest, Outside Business Activities (OBA), Private Securities Transactions (PST), and Personal Trading review services designed to help broker-dealers and investment advisers meet stringent SEC and FINRA regulatory expectations. Effectively identifying, disclosing, and managing conflicts of interest is a cornerstone of a defensible compliance program and a critical component of investor protection.
Our reviews evaluate firm-wide policies, disclosure processes, approval workflows, and supervisory controls related to employee outside business activities, personal securities accounts, and private investments. Regulators increasingly focus on whether firms can demonstrate proactive oversight, timely approvals, and ongoing monitoring of these risk areas. DuMont Consulting helps firms close compliance gaps by aligning internal practices with regulatory guidance, enforcement trends, and best-practice supervisory frameworks.
Through detailed testing and documentation analysis, we assess whether conflicts are properly identified, mitigated, or disclosed to clients, and whether personal trading activity is monitored for front-running, misuse of material non-public information, or violations of firm policies. We also review the adequacy of attestations, reporting schedules, escalation protocols, and disciplinary frameworks to ensure issues are addressed promptly and consistently
Integrated within our outsourced CCO services for investment firms, these reviews provide continuous oversight rather than one-time assessments. As an outsourced Chief Compliance Officer, DuMont Consulting supports ongoing surveillance, periodic risk assessments, regulatory exam readiness, and audit-ready documentation. This structured approach helps firms reduce enforcement exposure, protect their reputation, and maintain a strong culture of compliance.
Whether preparing for an SEC or FINRA examination, responding to regulatory inquiries, or strengthening internal governance, DuMont Consulting delivers practical, scalable solutions that safeguard firms and their clients from unmanaged conflicts of interest and compliance failures.