Financial Compliance Consulting & GRC Software
Blue Ocean Consulting delivers executive-level risk management and compliance expertise for broker-dealers, registered investment advisers, digital asset, and FinTech firms powered by Compass, a proprietary AI-native GRC software platform.
SEC enforcement actions filed in the past year
Amount of recent AML sanctions
We deliver proven compliance solutions across the full spectrum of SEC, FINRA, digital assets and Fintech regulated markets.
FINRA’s supervisory, recordkeeping, and sales practice rules leave almost no room for error – and a single gap in your 3120 or AML process can cascade into significant findings. You need a compliance partner who understands how to navigate these waters, not one learning it during your exam.
As a fiduciary, your program is judged on whether your daily practice actually matches your ADV Parts 1 and 2A not just what’s written on paper. Between the SEC’s 206(4)-7 annual review requirement and heightened marketing rule scrutiny, the gap between stated policy and actual operations is exactly where examiners look first. You need someone who closes that gap before the SEC finds it.
Digital asset and crypto firms sit at the collision point of securities law, money transmission, and AML/KYC obligations that regulators are still actively redefining. Frameworks built for traditional finance don't map cleanly onto token issuance, custody, or exchange operations. You need a partner who understands both the old rules and how regulators are actually applying them to crypto today.
FinTechs move fast, often launching product before the regulatory framework catches up — and bank or broker-dealer partnerships bring inherited compliance obligations most founders don't see coming. You need compliance built into the product from day one, not retrofitted after a problem surfaces.
FINRA’s supervisory, recordkeeping, and sales practice rules leave almost no room for error – and a single gap in your 3120 or AML process can cascade into significant findings. You need a compliance partner who understands how to navigate these waters, not one learning it during your exam.
Digital asset and crypto firms sit at the collision point of securities law, money transmission, and AML/KYC obligations that regulators are still actively redefining. Frameworks built for traditional finance don't map cleanly onto token issuance, custody, or exchange operations. You need a partner who understands both the old rules and how regulators are actually applying them to crypto today.
FinTechs move fast, often launching product before the regulatory framework catches up — and bank or broker-dealer partnerships bring inherited compliance obligations most founders don't see coming. You need compliance built into the product from day one, not retrofitted after a problem surfaces.
As a fiduciary, your program is judged on whether your daily practice actually matches your ADV Parts 1 and 2A not just what’s written on paper. Between the SEC’s 206(4)-7 annual review requirement and heightened marketing rule scrutiny, the gap between stated policy and actual operations is exactly where examiners look first. You need someone who closes that gap before the SEC finds it.
Compass is the only compliance platform where AI is native to every workflow – never just bolted on. It reasons from your firm’s own policies and live FINRA/SEC rules, so every answer, draft, and alert is grounded in your actual reality.
