Compliance Solutions Overview

Susan DuMont, Chief Executive Officer

DuMont Consulting, LLC is an outsourced Compliance Solution For small and mid-tier broker-dealers, RIAs and Private Equity Funds.

With our depth and breadth of industry experience and through our strategic partnerships DuMont Consulting has the ability to provide clients with a comprehensive and holistic compliance solutions product while also maintaining the flexibility to offer targeted compliance solutions for more specific requirements.

DuMont Consulting is a first stop For investment firms that have or may have unmet compliance, back-office and infrastructure needs.

Susan DuMont, the CEO of DuMont Consulting, has over 25 years of executive leadership experience In the financial industry in the areas of compliance, financial operations, backoffice operations and infrastructure.

DuMont Consulting serves as a complement to in house compliance departments of small and mid-tier firms including Registered Broker Dealers, Registered Investment Advisors, Hedge Funds, Private Equity Funds, Family Offices, and StartUps.

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.

Expertise

DMC clients leverage not only our expertise and experience but also strategic partnerships in the areas of legal, accounting, information technology and SOC-2 certified cybersecurity.

Flexibility

DMC offers a range of services on a periodic or ongoing basis, from essential overview/ assessment/compliance program architecture to complement in-house director or director services.

Risk Management

DMC offers a range of services on a periodic or ongoing basis, from essential overview/ assessment/compliance program architecture to complement in-house director or director services.

Cost-Savings

DMC offers a range of services on a periodic or ongoing basis, from essential overview/ assessment/compliance program architecture to complement in-house director or director services.

Solution Based Services

  • CCO/FINOP/CROP/ROP Services
  • New Membership Application Assistance
  • SEC Standard of Care:

    • Form CRS (Client Relationship Summary)
    • Form ADV Part III
    • Regulation Best Interest
  • Written Supervisory Procedures: updates and review
  • Email Review
  • Independent Investigation of Misconduct
  • Conflict of Interest, Outside Business Activities, Private Securities Transactions and Personal Trading
  • Web-CRD Management and Maintenance
  • Insider Trading
  • Annual 3012 Reports

Keep up to date — get updates with latest topics.

    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.

      Contact Request