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

Our professionals have a 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

  • Compliance Professionals
  • Regulators
  • Attorneys
  • Data Experts
  • Forensic Accountants
  • Investigators

Our Clients

  • Broker-Dealers
  • Investment Advisors
  • Hedge Funds
  • Law Firms

Our Expertise

  • Compliance
  • Risk Management
  • Investigations
  • 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.