Regulatory & Compliance Practice

The Regulatory & Compliance Practice is a highly experienced, skilled, and qualified team that works with our clients to provide regulatory compliance, regulatory risk management, regulatory control and compliance outsourcing services. GMG R&C supports North American and European clients across equities, fixed income and derivatives markets that are overseen by local, state, federal and industry regulators.

Eric Blackman, Partner
Gartland & Mellina Group
1385 Broadway, Suite 912
New York, NY 10018

Regulation Advisory & Implementation

Regulation-Specific Guidance, Regulatory Program Management, Current State Gap Analysis, Process Improvement and Redesign, CCF Reviews, Level 1,2,3 Control Design, WSP Writing

KYC/ BSA/ AML/ OFAC/ Client Onboarding

Operating Model Design, Golden Source & Master Client Data Solutions, Utilities and Process Centralization Expertise, Technology and Third Party Vendor Reviews, Short-Term Staff Augmentation

Market Structure & Stability

Trading Model Enhancements, Technology Platform Reviews, Cyber Security Assessments, Expertise Across a Wide Range of Rules, Including; Reg T, Market Access, Suitability, Best Ex, LULD, Spoofing/Layering, 13h-1, CAT, etc.

Regulatory Data Management

Regulatory Reporting Compliance Reviews (Reg NMS & OTC), Strategic Data Sourcing, Swaps Reporting and SEF Expertise, Data Remediation

Compliance Outsourcing, Mock Exams & Annual Reviews

Regulatory Filings, Email Surveillance and Monitoring, End-to-End Process Review, Regulation-Specific Training, Annual Report Writing (Regulation SCI, etc.)

Audit Support

Regulatory Subject Matter Expertise (Federal, state and local), In-depth Knowledge of Front Office Products, Operational Processes, System Functionality and Risk Controls, Audit Documentation Development (e.g. timelines, metrics)

Strategic Partnerships & Alliances

  • Market Structure Experts
  • Regulatory Reporting Technology Firms
  • Former SEC Executives
  • Leading Financial Legal Firms
  • Cyber-Security & Information Risk Experts
  • Penetration Testers
  • AML Experts
  • Records Management Professionals
  • Near-Shoring & Off-Shoring Partners
  • Data Scientists

Gartland & Mellina Group — A Management Consulting Company