EXECUTIVE COMPLIANCE INTERNATIONAL LLC Personalized Financial Consulting

Strategic Planning
Business Development
Compliance Consulting
Continuing Education
Website Content Creation

Building A Strong Future

Executive Compliance LLC helps financial services companies stay one step ahead by working with senior management to provide compliance consulting, training, and strategic planning. We provide day-to-day compliance services and help draft policy and procedure documents so that your team can be efficient and stay ahead of the curve. As a resource that has advanced specializations and extensive industry experience, Executive Compliance is ready to guide your organization with an end-to-end compliance management strategy.

Compliance Solutions

Executive Compliance is passionate about helping companies analyze business trends and reduce compliance risk. Our goal is to safeguard your business that you have strived to build. We have a proven track record of helping broker-dealers, futures commission merchants, and forex dealers conducting business in institutional and retail securities, proprietary trading, commodities, forex, brokerage operations and prime brokerage meet their goals and reduce their compliance risk. We can help you whether you are looking to implement a new compliance solution or update existing procedures.

About Our Principal Consultant

AJ Feist, the president of Executive Compliance International LLC, has several decades of industry experience diligently helping member firms comply with rules and regulations and also planning and executing new business inititatives. He has held board memberships and directorships and managed the compliance functions at several major clearing brokers and futures commission merchants that conduct business in securities, commodities, and foreign exchange.

Mr. Feist has been a speaker and moderator at industry seminars,

a guest lecturer at New York University School of Continuing and Professional Studies, an instructor at the New York Institute of Finance, an expert witness in securities litigation, and has published articles in several industry publications.

EXECUTIVE COMPLIANCE INTERNATIONAL LLC Personalized Financial Consulting

EXECUTIVE COMPLIANCE INTERNATIONAL LLC

Building A Strong Future

Compliance Solutions

About Our Principal Consultant

Executive Compliance International LLC

Schedule a Free Initial Consultation

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