The NCS Regulatory Compliance Difference

Combining what we know with what technology can do.

Leading the way in regulatory compliance.


NCS Regulatory Compliance offers the deep investment adviser and broker-dealer expertise and proven compliance knowledge that makes the critical difference to our clients. As regulatory intricacies become more complex and change more frequently, NCS Regulatory Compliance’s experts remain on the cutting edge, leveraging decades of experience and the latest technology innovations to simplify and streamline the registration process and managing your ongoing compliance requirements. Our knowledgeable consultants work closely with you to analyze your compliance needs and develop a strategy that is effective and easy to implement, while anticipating and planning for future regulatory changes.

The result of a merger in 2015, NCS Regulatory Compliance unites two of the nation’s longest-serving regulatory compliance leaders – National Compliance Services, Inc. and Regulatory Compliance, LLC. Each with more than 25 years of experience in the registration and compliance consulting space, the privately-held companies both have a history of strong growth and impressive results for clients. The merger allows the exceptional teams from each firm to come together to maximize the intelligence and services available to its clients.

As a client and partner of NCS Regulatory Compliance, you’ll receive access to our comprehensive suite of registration, compliance, and regulatory accounting services, as well as the thought leadership and expertise of some of the most notable professionals in the industry. Together as your trusted partner, NCS Regulatory Compliance will ensure that you avoid compliance issues, giving you peace of mind and the opportunity to focus on your core competencies, while we focus on ours.


Blog Post:  We’ve expanded! 

Our Team

Free Consultations

Regulatory compliance is complex. Whether your firm is new to managing compliance requirements or you already have a strategy in place, NCS Regulatory Compliance can add value to your regulatory compliance plan. Let us prove it – request a free consultation, and we’ll show you how we can support your registration and compliance needs.

Not the online form type?
Feel free to call (800) 800-3204 or email us at