Treliant’s experienced securities professionals bring private and public sector experience to the largest global financial institutions. 

Our team of ex-regulators, experienced CCOs, and consultants have deep expertise in analyzing complex securities compliance issues and providing practical, business-oriented solutions in a regulatory environment that can be challenging to navigate. Treliant’s expert team features former regulators from the Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), FinCEN and national banking regulatory authorities. We know how to right-size compliance and risk management programs.


Securities Compliance Team at Treliant

Our Team

  • CCOs & Compliance Professionals
  • Regulators
  • Attorneys
  • Data Experts
  • CISOs
  • Forensic Accountants & Investigators

Our Clients

  • Alternative Managers (Venture, PE, and HF)
  • Traditional Asset Managers & Investment Companies
  • Broker-Dealers
  • Swaps and Commodities Dealers
  • Investors, Family Offices, & Asset Allocators
  • Bank and Insurance Company Programs

Our Expertise

  • IA / BD Registration
  • Compliance
  • Risk Management
  • Crisis Management
    • Reg. Exam Support
    • Investigations
    • Litigation
  • Resource Management & Outsourcing
  • Budget Planning & Strategic Advisement

Exam Preparation

We perform mock examination services, internal audits and other regulatory examination preparation services. Treliant consultants act as 'auditors in charge' or 'regulatory examiners' and 'exam managers' in these offerings to firms across various business lines.

Ready to Talk?

Treliant works closely with its clients to understand their needs and design an appropriate work plan and approach to each engagement. Learn more when you connect with our team.