Welcome to ITA Compliance, LLC

ITA Compliance, LLC, founded in 2012, offers testing and examination services to broker-dealers, registered investment advisers, and exempt reporting advisers. Services include testing required by FINRA, SEC, and FinCEN, as well as mock regulatory examinations.

What Makes Us Unique

One word: INDEPENDENCE. ITA Compliance, LLC is unique in the compliance consulting arena in that we don’t try to offer everything to everyone. We focus exclusively on one service: testing. ITA Compliance, LLC does not draft compliance manuals or registration documents, so therefore, we are not reviewing our own work. This avoids conflicts of interest commonly found in our industry.

Companies Served

Broker-Dealers

ITA Compliance, LLC commonly conducts FINRA required testing and examinations to satisfy the following:

AML Testing (FINRA 3310)
OSJ Inspections (FINRA 3110)
Supervisory Controls (FINRA 3120/3130)

Registered Investment Advisers (RIAs)

SEC registered investment advisers are required to conduct an annual review of their policies and procedures to satisfy rule 206(4)-7. This is one of the most common engagements conducted by ITA Compliance, LLC, along with AML testing and Department of Labor (PTE 2020-02) reviews.

Exempt Reporting Advisers (ERAs)

Historically, ERAs have not been subject to annual compliance reviews and testing conducted by RIAs. However, starting in 2026, ERAs will need to implement Anti-Money Laundering programs, and ITA Compliance, LLC is ready to provide assistance with these requirements.

Representative Engagements (2024/2025)

Professionals having an important discussion

Investment Adviser

Annual Compliance Review and DOL PTE 2020-02 Review for an SEC-registered adviser with approximately $500 million in AUM and 700 retail accounts.

Mock SEC examination for a state-registered investment adviser expecting to become SEC registered within 12 months.

Annual Compliance Review for an SEC-registered adviser with over $4 billion in retail AUM and multiple locations throughout the US.

Annual Compliance Review for an institutional adviser whose investment process consists of recommending and monitoring pooled investments offered by third-party managers.

Broker-Dealer

AML testing for an online broker with a proprietary trading platform which focuses on serving retail day traders.

Supervisory controls testing and home office OSJ inspection for a broker-dealer who wholesales affiliated Regulation D oil and gas offerings to other broker-dealers and investment advisers.

Home office OSJ inspection, supervisory controls testing, and AML testing for an independent broker-dealer (with affiliated RIA) with over 100 producing registered representatives.

AML testing for a placement agent who engages with asset managers of private funds.