Essential Edge provides outsourced compliance services for broker-dealers, registered investment advisors, banks and insurance companies.

Essential Edge’s comparative advantage over its peers is its national network of professionals who have an average of 20 years of experience and specialized skills that are well suited to meet each client’s needs. 

Additionally, as a virtual company, our rates are substantially less than competitors - which are saddled with salaries, office space, and other general and administrative expenses. Unlike our peers, our model is not based upon monthly retainers. We are the “911” call for securities industry compliance - when a company is short staffed, overcommitted or needs to focus their resources on other priorities.  Whether a project is a few days, a few months or longer, we have the capacity, experience and skills to “fill in the gaps” no matter where they exist.

Our wide range of expanding services includes remote and on-site branch exams, risk assessments, AML and CEO certification exams, 206(4)-7 exams, email and advertising reviews, internal investigations, Reg BI reviews, sales supervision and other temporary staffing. 

For a free consultation on how we may be able to help you with these or other services, contact Sander Ressler, Managing Director, at sander@eefirms.com.   

Essential Edge Compliance Outsourcing Services, LLC

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