ADVANCED

Cordium works with US and international broker dealers, to help them meet their regulatory obligations and reduce their compliance risk profile.

We also provide on-going daily compliance support. We understand the importance of the compliance function to the Member Firm and devise unique ways to meet and exceed the expectations of the firm’s functional regulator, while at the same time recognizing the limitations of a firm’s capabilities in compliance program designs and recommendations.

If you would like further information on Cordium's broker dealer services please contact our New York office on 001 212 515 2800.

"Our new employee on-boarding process is now seamless.  As soon as a new employee starts at the firm, we set them up on Compliance ELF and show them how to use it.  They then complete the required documentation, submit it through Compliance ELF, compliance reviews it and then we are done."

Director of Legal/Compliance , $1.5BN Hedge Fund Manager