FIN Compliance
HQ Address
2950 Buskirk Avenue, Suite 300, Walnut Creek, CA 94597, United States
Website Address
Business introduction
Compliance & Training Systems for Teams
Empowering FINServ firms, funds, and consultants to delegate Compliance, Training, and Audit work in the Cloud
FIN Compliance | Lancer | Auditor | Trainer, provides compliance and training systems to the FIN Service Ecosystem, which includes SEC and state-registered investment advisors, financial planners, insurance agents, private funds, and broker-dealers.
We operate within a consortium of compliance, technology, and training consultants to assist investment firms in structuring, maintaining, and developing their regulatory review programs.
We've developed our compliance and training technology portals as add-ons for Chief Compliance Officers (CCOs), consultants, and staff to customize using Zapier, APIs, or single sign-on solutions.
With our flagship company, FIN Compliance, in operation since 2012, we have served over 200 firms in the financial services ecosystem, including SEC and state-registered investment advisors, financial planners, insurance agents, private funds, and broker-dealers.
