Trusted Expertise

Practical Solutions

At Rouse Compliance Group, we understand the challenges of today’s regulatory landscape because we’ve lived them. With leadership experience as Director of Operations, Chief Compliance Officer, and Data & Systems Manager in finance, we help firms proactively manage risk, avoid regulatory pitfalls, and build strong compliance cultures that scale.

Compliance Program Development

Custom-built compliance frameworks tailored to your firm’s size, structure, and risk profile.

Policy & Procedure Review

Comprehensive analysis and optimization of your written supervisory procedures.

Mock SEC Audits

Simulated audits that uncover blind spots and prepare your team for real regulatory exams.

Ongoing Training & Staff Education

Equip your team with practical knowledge on SEC rule changes, risk controls, and fiduciary best practices.

Technology & Workflow Assessment

Ensure your compliance systems are efficient, integrated, and audit-ready.

regulatory filings

Trust & Commitment

Identify potential compliance gaps and proactively address risks

Long-term—not just one-time audits

We offer expert reviews and updates of your internal documents to meet current regulatory requirements ensuring your business is meeting all applicable local, state, and federal compliance standards.

Customized Compliance Programs 100%
Risk Assessment & Mitigation 100%
Policy & Document Review 100%
Your Company
Our Compliance Support