NCS Regulatory Compliance - full service BD and RIA registration & compliance consulting
NCS Regulatory Compliance a single source for full service BD and RIA registration and compliance consulting solutions to support CCO’s and their firms including customized ongoing consulting programs, registered rep administration, FINOP regulatory accounting services, customized procedures, succession/transition filings, and powerful technology-driven compliance solutions such as mock and branch examinations, AML and other testing and cybersecurity assessments. We provide a full suite support system for compliance teams to help firms meet compliance regulatory filing deadlines. Visit http://ncsregcomp.com for more information or email info@ncsregcomp.com.
Keywords: RIA Registration, BD Registration, RIA Compliance, BD Compliance, FINOP, Regulatory Examinations and Testing, Cybersecurity Assessment, Risk Assessments, Supervisory Procedures
Interview Q&A
How long have you been in business?
25+ years
What is your primary product or service?
Registration and compliance consulting to investment adviser and broker-dealer firms.
How did you first become interested in your line of business? (if owner) - What is your background? (If owner or store manager)
Rita G. Dew is the founder of National Compliance Services, Inc. and now Co-CEO of NCS Regulatory Compliance. Prior to her current role as Co-CEO, Ms. Dew established a software development company, ProFormware, Inc. that developed and provided specialized products to the financial securities industry. She received her undergraduate degree with a dual major in Finance and Computer Information Systems. She went on to earn her Juris Doctor from Nova Southeastern University School of Law. Ms. Dew was among the first to earn the designation of Certified Regulatory and Compliance Professional (CRCP) by FINRA and the Wharton School. She also held the FINRA Series 27, Financial and Operations Principal exam, and served as the FINOP for several FINRA member firms. Throughout her career she has been involved in a broad diversity of experiences with investment adviser and broker-dealer firms. She is also a managing partner of the law offices of Dew, Foxman and Haugh, PLLC and a member of the Florida Bar.
Stephen J. Sussman founded Regulatory Compliance, LLC in 1989 and is now Co-CEO of NCS Regulatory Compliance. Mr. Sussman’s background includes compliance consulting support to broker-dealer and investment adviser firms worldwide. He has particular expertise in broker-dealer accounting practices and is well versed in SEC-regulated accounting procedures. Prior to his current role as a compliance consultant and a FINOP for registered broker-dealers, he performed exams of SEC-registered investment companies and was a senior examiner with FINRA (formerly NASD) in New York and Boston. He has an MBA in Finance from Hofstra University, an undergraduate business degree from The State University College of Buffalo and an Accounting Certificate from Northeastern University. He currently holds the FINRA Series 7, 24, 27 and 63. He has been a Licensed Certified Public Accountant for over 25 years and had performed numerous certified audits of SEC Registered Broker-Dealers.
How do you differentiate yourself from other businesses in your category and area?
We combine what we know with what technology can do – leading the way in regulatory compliance.
How many locations do you have and do you have plans to expand?
4 major offices and hubs as well as several remote employee home offices nationwide. New York, Delray Beach, Boston, Londonderry
Provide detailed directions to your location
Locations are primarily located on the east coast of United States.
What type of payments do you accept?
Visa, Mastercard, American Express, Check
Which areas do you service?
All United State of America
Who owns your company or runs daily operations?
Mark Alcaide, COO:
Mr. Alcaide leads the firm’s management team in developing and delivering all elements of NCS Regulatory Compliance’s services, business development, its strategic plan, and all policy and management initiatives. His role centers on business and client relationship development, all consulting services, and on overseeing the firm’s financial and administrative operations. He is a strategic-minded senior executive with more than 20 years of experience running operations and finance across various industries. In this role, his focus is to build world-class functions across all support areas and engage directly with clients to fashion innovative service and pricing offerings.
What are your hours of operation?
Standard office hours are 8:00 am - 5:00 pm EST, however, with consultants nationwide and virtual connectivity, many consultants work around the clock to service our clients.
What is the best compliment anyone can give you?
A referral.
Contact NCS Regulatory Compliance:
