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SER Member Launches New Compliance Service for Independent BDs and RIAs
September 17, 2019
MEMBER HIGHLIGHT - Sander Ressler and his new compliance outsourcing service, Essential Edge, were recently featured in Financial Advisor Magazine in a story titled, "For a Flat Fee, This Florida Firm will Inspect Broker-Dealer Branch Offices." The article goes on to explain the demand that exists among independent BDs and RIAs, who have "far-flung branch offices" under OSJ supervision, in staying current with and assuring compliance with the ever-changing regulatory environment. Enter Essential Edge Compliance Outsourcing Services, LLC, SER Member Ressler's new company, launched with partner Beth C. Barak, who herself is an expert in client relationship management, project management, program start-ups and communications. According to the FAM article, "Essential Edge offers a solution to [potential supervisory] conflict[s] of interest, offering compliance experts for hire with a flat fee to cover each step of the branch inspection process."
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