ABOUT US

What we do

ITA Compliance, based in Boston, Massachusetts, specializes in providing examination services to broker-dealers, investment advisers, and transfer agents. These services include FINRA, SEC, and state-required testing and audits, as well as consultative mock regulatory reviews.

How we are different

We know that financial service companies have a variety of external options to choose from to satisfy ongoing regulatory requirements. And, we know that partnering with the right firm can be a challenge as many companies provide similar services and "one size fits all" solutions. This one solution approach often lacks personalized and quality service. ITA was formed to be different in this arena. Our main focus is on one primary service: examinations. This specific focus allows us to be experts in our field, establish a partnering relationship, and to provide services exclusively tailored to meet the needs of our clients.

Independence

Our focus on providing one primary service also permits us to avoid conflicts of interest. Independence means your examining firm does not have any conflicts, which is essential for the integrity of the engagement. For example, we will not draft a firm's policies and procedures, and then review as an auditor which would be a significant conflict. Instead, we refrain from engaging in projects that create testing conflicts. This provides for a truly independent review.

Our team

Our team of examiners average more than 15 years of compliance experience and a mix of regulatory and industry experience. We have successfully conducted hundreds of examinations for small, medium, and large institutions. Team members hold a variety of securities licenses and certifications; and we are members of various industry groups, including the Securities Industry Financial Markets Association (SIFMA), Association of Certified Anti-Money Laundering Specialists (ACAMS), and Association of Certified Fraud Examiners (ACFE).

Summary

When choosing a compliance firm to partner with, it is important to evaluate examination team experience, qualifications, and independence relative to the proposed project. We invite you to consider us and would be delighted to present your firm with a proposal for services. Please complete the online form located here or contact us directly at 617-854-7500.