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Gordian Compliance Solutions is a concierge compliance consulting firm located in the San Francisco Bay Area.

Gordian Compliance Solutions

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Gordian Compliance Solutions is a boutique consulting firm specializing in regulatory compliance services for financial industry firms. We work with investment advisers, broker-dealers, private fund managers, and futures professionals to provide compliance and risk management solutions for their overall business needs. Our clients operate throughout the United States, ranging in size from start up businesses to established multi-national firms. Gordian is based in the San Francisco Bay Area and maintains offices in New York and Florida.

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Gordian combines decades of hands-on experience with the highest customer service standards to provide innovative and efficient compliance consulting. Our expertise focuses on SEC regulatory obligations found under the Investment Advisers Act of 1940, the Securities Act of 1933, FINRA Rules governing broker-dealer member firms, NFA and CFTC guidelines, as well as a variety of federal/state securities laws and regulations. Gordian uses a risk-based approach to identify a firm’s regulatory obligations with an eye towards implementing industry best practices. Our holistic methodology develops compliance programs that support a strong, firm-wide “culture of compliance.”

Gordian’s measured approach to regulatory compliance provides a competitive edge for our clients:

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Navigating today’s evolving regulatory environment consumes valuable time and drains limited resources. We work with your firm to implement streamlined and effective compliance solutions for your business.

laptopiconExperienced Consultants 

Our consulting practice is built upon more than four decades of financial industry experience. Our staff members come from previous positions at large institutional managers, dually registered broker-dealers, regulatory enforcement agencies, and law firms. Gordian’s consultants are uniquely positioned to offer experienced insight in order to enhance your current compliance program.

laptopiconIndividually Tailored

We work with you to develop and implement a specialized compliance program that’s individually tailored to your business, maximizing your operational strengths, mitigating risks, and leveraging opportunities.