Northern Lights Compliance Services (NLCS), a team that assists mutual funds, RIAs and broker-dealers meet their compliance requirements, has opened a new office in San Rafael, California.
The new office will boost the firm’s capability to offer cost-effective compliance assistance and consulting services to clients across the US.
The office will be headed by Emile Molineaux, senior compliance officer at NLCS.
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NLCS provides a wide range of compliance professionals, including attorneys, CPAs, FINRA-licensed reps and experts in commodities and derivative securities. It enables chief compliance officers (CCOs) to support and consult with one another and they are assisted by a well-trained staff.
NLCS said that it also provides CCOs for many of the mutual fund clients of its sister company, Gemini Fund Services.
Additionally, NLCS has staff on site offering compliance solution at the operations level and its CCOs will report directly to and work closely with their respective funds’ boards of directors/trustees to ensure each fund is in compliance with its regulatory and board oversight requirements.
Brian Nielsen, general counsel at NorthStar, said: "The ongoing expansion of NLCS is a testament to the value of the cost-effective and time-efficient compliance solutions NLCS provides, which enable small and mid-sized advisers and broker-dealers to focus their efforts on growing their businesses and serving their clients."
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