About Us
ITA Compliance, LLC was established in Boston’s Financial District in 2012. In 2022, we relocated to Duxbury on Massachusetts’ South Shore. ITA specializes in conducting testing and examinations for broker-dealers, registered investment advisers, and exempt reporting advisers. These services include FINRA, SEC, FinCEN, and DOL required examinations as well as consultative mock regulatory reviews. Our company has conducted hundreds of examinations for small, medium, and large institutions.
ITA Compliance, LLC focuses solely on testing within the compliance consulting space to avoid potential conflicts of interest. By providing one primary service, the firm maintains the integrity of its engagements. For instance, ITA Compliance, LLC does not draft a firm’s policies and procedures or client disclosures and then review them as an auditor. This approach ensures a truly independent review.
ITA Compliance, LLC was founded in Boston, MA, in 2012 and relocated to the South Shore of Massachusetts (Duxbury) in 2022. The company specializes in conducting testing and examinations for broker-dealers, registered investment advisers, and exempt reporting advisers. These services include FINRA, SEC, FinCEN, and DOL required examinations as well as consultative mock regulatory reviews. ITA Compliance, LLC has conducted hundreds of examinations for small, medium, and large institutions.
ITA Compliance, LLC focuses solely on testing within the compliance consulting space to avoid potential conflicts of interest. By providing one primary service, the firm maintains the integrity of its engagements. For instance, ITA Compliance, LLC does not draft a firm’s policies and procedures or client disclosures and then review them as an auditor. This approach ensures a truly independent review.
Our Approach
Financial service companies have a variety of options to choose from. Many consultants provide similar services, including “one size fits all” solutions, however, this one solution approach often lacks personalized and quality service. ITA Compliance, LLC’s focused approach allows us to be experts in our field and to provide services exclusively tailored to meet the needs of our clients. In our initial engagement, we invest time in understanding the roles and responsibilities of key personnel, compliance and operational systems and processes, and the firm’s business model. This allows us to have a deep understanding of the firm’s business and provide detailed and practical recommendations to improve your compliance program.
Our Approach
Financial service companies have a variety of options to choose from. Many consultants provide similar services, including “one size fits all” solutions, however, this one solution approach often lacks personalized and quality service. ITA Compliance, LLC’s focused approach allows us to be experts in our field and to provide services exclusively tailored to meet the needs of our clients. In our initial engagement, we invest time in understanding the roles and responsibilities of key personnel, compliance and operational systems and processes, and the firm’s business model. This allows us to have a deep understanding of the firm’s business and provide detailed and practical recommendations to improve your compliance program.
Our Team
ITA Compliance, LLC’s consultants are located in Massachusetts, New Jersey, and Maryland. Our team averages more than 20 years of compliance experience and a mix of regulatory and industry experience.
Leadership
Nathan Jodat, President
Nathan Jodat, Founder and President of ITA Compliance, LLC, has over 25 years of experience in financial services. Since January 2009, he has conducted hundreds of examinations for broker-dealers and investment advisers across the U.S.
Nathan has experience working with an array of financial institutions varying by:
- The number of representatives (1-500+) and locations (1-100+).
- Types of investment products, including public and private investments.
- Types of customers, including individuals, institutions, businesses, trusts, and ERISA plans.
- Supervisory structures, including firms with global reporting requirements.
- Brokerage and clearing/custody arrangements.
- Affiliations with other investment-related businesses such as banks and transfer agents.
- Regulatory history, including firms subject to reviews as a result of enforcement actions.
Before forming ITA Compliance, LLC, Nathan held the position of Vice President and Regional Supervisor at Wachovia Securities, LLC (formerly Prudential Securities). He supervised branch managers, provided compliance/regulatory policy training, prepared branch offices for compliance inspections, and addressed internal audit and regulatory deficiencies. From 2001 to 2004, Nathan worked as a Compliance Examiner in New York, conducting branch and OSJ compliance inspections in accordance with FINRA Rule 3110 (formerly NASD rule 3010). During his nearly 10 years at Wachovia, Nathan also served as Operations Manager and Financial Adviser.