Exemplar Compliance & Due Diligence Services

Businesses who operate in highly regulated industries, such as in financial services,  require a thorough understanding of the regulators, filing processes, regulatory requirements and expectations. Failing to understand these early in the process can be costly, frustrating and derail the best business plans.

Compliance Services

Laws and regulations can be all consuming and the cost of non-compliance is significant. You want to grow your business and that is where your focus needs to be.  That is why we are here to help. Exemplars multi-discipline team works with you to develop, execute and maintain compliance programs. We leverage the years of experience and expertise of our team of compliance professionals, attorneys, risk managers and business experts. We support the U.S compliance requirements of securities, banking and commodities institutions, payment providers, money transmitters and digital assets, FinTechs & companies who are undergoing digital transformation

Due Diligence Services

Exemplar’s due diligence services support broker dealers and registered investment advisors. We furnish sponsor-level and deal-level due diligence opinions and we also serve as a reviewer of due diligence opinions prepared by other firms.

Exemplar’s Professionals Are Skilled in the Rules and Regulations of:

Strategy, Risk Assessment & Board Reporting

Exemplar’s compliance experts can help you define and implement a highly effective compliance strategy, conduct effective risk assessments and develop comprehensive board reporting.

AML & Regulatory Compliance Programs, and Technologies

Our compliance experts are highly experienced in delivering and supporting AML and regulatory compliance programs, through comprehensive and effective strategy and board reporting, documentation creation, program testing, exam management, training, and software implementation and support.

Compliance Reporting & Filings

Exemplar’s compliance experts are highly experienced in registering new regulated financial institutions, and developing and filing regulatory reports.

Policies and Procedures Development

Our compliance experts are highly experienced in drafting and maintaining comprehensive policies and procedures which respond to regulatory requirements.

Regulatory Change Management

Exemplar can help you track, understand and address the ongoing changing requirements of the regulators.


We conduct annual compliance meetings, code of ethics training, and training for targeted topics covering securities, commodities, and banking regulations.

Compliance Monitoring & Testing

Exemplar employs a multi-disciplined team of legal, compliance, business and audit professionals to conduct comprehensive and highly effective compliance tests.

Exam Management

We are highly experienced in preparing and supporting companies during regulatory exams.

Anti-Bribery & Corruption Compliance

Exemplars compliance experts can help you prevent and detect bribery and corruption threats with leading edge solutions

Privacy Compliance 

Our compliance experts can assist your firm to navigate the US and global data privacy requirements.

FinTech & Digital Transformation

Exemplar is highly experienced supporting the business and compliance requirements of Fintechs and companies who are implementing new financial products and leading edge technologies such as Blockchain.

Outsourcing & Co-Sourcing Staffing Solutions

We can provide highly experienced Chief Compliance Officers, AML Officers and compliance professionals to work directly with you.

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