Taylor & Company has been in business since 1998.
We are a “securities industry” consulting firm providing an important array of expertise in the industry.
Taylor & Company specializes in compliance, registrations, operations and risk management for the financial industry. We will review and evaluate these critical areas. We offer guidance to limit your exposure.
Finally, we make strategic recommendations that will benefit the firm.
We provide our clients, ongoing industry and firm support with direct access consultation, including but not limited to
all areas of compliance, registrations, operations and business development. We will fit your need and your budget!
Tracy D Taylor, founder and CEO recognizes the assistance his firm’s services provide.
Our clients feel the immediate and direct impact when they engage our services.
First, in the relief mode knowing someone is there to help!
Second, in the support and completion of the responsibilities that are required!
The role we take, on behalf of our client is as if we were employed by the firm as
the Chief Compliance Officer(CCO) or Chief Operations Officer (COO).
We take the responsibility seriously since our clients regulatory exposure is at stake.
Unlike the larger consulting firms, the name on the door is the professional who signs the agreement and does the work. The “compliance in the box” firms just do not have the personal access or experience that our clients want.
If your firm is seeking CCO/COO expertise, as the CCO/COO would you rather spend your time more efficiently?
As the principal or owner of the firm would your firm benefit more by allowing you
to focus on revenue or new business production or actually acting in that capacity?
We will help you navigate through the difficulties and nuances of the regulatory environment!
Taylor & Company