Compliance Exchange, LLC

Our Company

Formed in 2004, Compliance Exchange, LLC is a compliance consulting firm that specializes in providing solutions to Broker Dealers, Investment Advisers and Investment Companies throughout the United States.   We partner with our clients using a teamwork approach to provide a full array of customized solutions including:
•            AML Compliance Programs, Training & Independent Testing
•            Compliance Consulting
•            Membership and Registration services
•            Annual Compliance Reviews
•            Business Continuity and Succession Plans
•            Financial Principal, FOCUS Reporting, Annual Audit Assistance
•            Written Supervisory Procedures & Compliance Manuals
•            Supervisory and Internal Control Testing, Mock Audits
•            Compliance Training
•            Continuing Education Programs

leadership

Russell Morin, Managing Director
Mr. Morin has worked in the securities industry in various capacities for his entire professional career.  He is an accomplished compliance professional with an extensive background in securities and investment advisory laws and regulations.  He has over 25-years of compliance experience, including many working as an examiner for FINRA.  His industry experience includes being corporate officer overseeing compliance functions for multiple broker/dealers and affiliated SEC-registered investment advisers.  He has extensive knowledge of securities laws as well as broker dealer, adviser, and private & public fund regulations.

Mr. Morin holds a bachelor’s degree from Colorado State University and a Masters in Accounting from University of Colorado at Denver.   In addition, he holds Series 7, 24, and 27 securities licenses.