Since our inception in 2002, Encore Group has specialized in providing professional compliance consulting through industry veterans who are uniquely qualified to provide support to broker/dealers and investment advisers. We have built considerable expertise in dealing with evolving securities regulation, rule-making impact, regulatory readiness, new firm applications and compliance program implementations.

Encore Group offers:

  • Experienced, impartial, objective resources
  • Exam-tested independent reviews and analysis
  • Practical guidance and straightforward assessment based on best practices
  • Project-related experience with the ability to tailor solutions to meet specific needs


Outsource with Encore Group because:

  • We believe our success and repeat business are testimony to our integrity and superior quality of work, as well as our ability to adapt and work with a variety of business models, cultures and management styles
  • We have extensive backgrounds with FINRA and SEC regulations and have built impressive careers as professionals in the securities industry
  • Our opinions are unbiased. We bring a fresh perspective that is not overshadowed by internal influence or control within your firm
  • Our skills and experience provide you with the responsiveness you demand. We believe that our clients genuinely look forward to partnering with us through their annual compliance cycles or project initiatives, as much as we look forward to working with them