|By PR Newswire||
|March 5, 2014 02:40 PM EST||
BOSTON, March 5, 2014 /PRNewswire/ -- Jeffrey Bauer, president of Angell Pension Group, a national leader in third-party pension plan administration and compliance, has become a partner at Regulatory Compliance, a national leader in providing comprehensive broker-dealer and investment adviser compliance services. This partnership will give clients access to the extensive compliance expertise and resources of both firms. Angell Pension Group is headquartered in Providence, Rhode Island, and Regulatory Compliance has offices in Boston, New York City and southern New England.
"There is a natural synergy between the firms and their compliance services," says Bauer. "Over the past 25 years, Regulatory Compliance CEO Steve Sussman has built a foundation for growth through high-level talent and support services. We share similar philosophies on the importance of providing hands-on customized service to our clients, and doing so staffed with professionals who have deep, practical experience as either regulators or industry experts in each of their fields. Our staff is a critical component of service excellence and growth, and the marketplace itself is poised for growth with the government's focus on creating new regulations."
Regulatory Compliance's strong growth has been buttressed by key additions to the firm's executive ranks, including Mark Alcaide, MBA, CPA, to its management team as chief operating officer and chief financial officer. Alcaide brings more than 20 years of experience in operations and finance in the financial services industry. Seasoned sales executive Marcy Kalat has also joined the firm as West Coast director of sales, and additional compliance services and professional compliance staff has been added.
"Mark Alcaide joining Regulatory Compliance as COO adds to my confidence that the firm is poised to go to higher and higher growth levels," says Bauer. "The infrastructure and staff are in place to support expansion of the firm."
"Our substantially deepened capabilities and infrastructure investments allow us to bring enhanced services to additional clients," adds Alcaide. "In light of the increased level of SEC scrutiny of investment advisers and broker-dealers, we are perfectly positioned to help clients navigate these choppy waters."
An indication of the firm's growing presence in the industry is Regulatory Compliance recently being selected as a preferred compliance vendor by one of the nation's largest brokerage firms. The program includes nationally recognized providers in the financial services business and offers third-party compliance services to financial advisers.
"Our focus is on helping firms create a risk-based compliance culture to avoid regulatory issues," says Regulatory Compliance CEO Steve Sussman.
For more information on Regulatory Compliance Conference Unplugged, visit RCunplugged.com or contact Sarah Vaira at 603-216-8919 or [email protected] or visit RegulatoryCompliance.com.
About Regulatory Compliance
Regulatory Compliance brings 25 years of experience to assisting broker-dealers and investment advisers in meeting critical compliance requirements and regulatory filing deadlines. Our seasoned professionals are highly skilled in navigating the complex FINRA, SEC and state registration processes and keeping registered firms in compliance with securities regulations. Firms receive ongoing compliance support through our PartnerProgram, selecting the level of proactive support that best meets their needs - from testing and exams to FinOp services, compliance manuals, continuing education and more.
About Angell Pension Group
Founded in 1971 as an actuarial consulting firm, Angell Pension Group is one of the nation's oldest and largest third-party administration and compliance firms, providing services to more than 3,000 clients nationwide. The firm provides a full array of administrative, actuarial, Section 125 and nonqualified services, focusing on keeping clients' retirement and benefit programs in compliance. We seek out top-notch talent and hire only the best and brightest professionals who can provide outstanding client service. Expert planning, careful documentation, efficient management and compliance-related testing are our specialty, as we service the needs of qualified retirement plans through payroll integration.
Sarah Vaira, Operations Manager
SOURCE Regulatory Compliance
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