Integrated Compliance Consulting (ICC)

Integrated Compliance Consulting (ICC) delivers professional, customized compliance programs for small financial firms, with a core focus on broker-dealers and additional support for investment advisers and CFTC/NFA members. ICC’s mission is clear: regulatory compliance should never be compromised due to lack of understanding or limited internal resources.

Their team of seasoned professionals designs programs that reflect each client’s unique business model, blending industry expertise with practical solutions that strengthen daily operations and reduce regulatory risk. ICC provides a strong defense by building frameworks that meet regulatory standards while honoring the narrative and identity of every firm they support.

ICC’s services span outsourced CCO programs, firm registrations (including NMAs and CMAs), compliance inspections, branch exams, 206(4)-7 annual reviews, independent AML audits, mock exams, and ATS buildouts, with expertise across mergers and acquisitions, private placements, fintech, institutional trading, retail brokerage, and 15a-6 firms.

Whether serving as a firm’s outsourced CCO or working alongside an in-house CCO, their approach is personalized and strategic, ensuring compliance is integrated into everyday workflows rather than layered on top of them. Supported by Compliance Desk, their proprietary cloud-based platform, ICC delivers efficient monitoring, documentation, and oversight that empowers firms to navigate complex regulations with confidence.

ICC’s experts do more than recite rules. They craft real solutions that allow small firms to function effectively as businesses while staying fully aligned with regulatory expectations.