What We Do
our services
Engaging Cobia Compliance to conduct your AML audit will give you confidence that your firm is in compliance with your industry’s AML requirements as well other federal regulations such as the Bank Secrecy Act and USA PATRIOT Act.
AML Services

Have confidence that your business complies with all AML requirements.

Cobia Compliance specializes in providing comprehensive compliance services to broker-dealers, investment advisers, and hedge funds. Our goal is to get to know you, your personnel, and most importantly, your firm.
Annual Review Services

Providing comprehensive compliance services for investment advisers, hedge funds and more.

When starting a new business, the endless landscape of acronyms like CRD, IARD, and ADV can be overwhelming. Cobia Compliance can help you safely navigate the rules and regulations of the financial services industry.
Broker-Dealer Services

We'll help you navigate the rules of the finaical services industry.

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We are here to serve small to medium businesses.
Cobia Compliance is a full service financial compliance consulting organization.

We will assist your firm in a variety of issues that will allow you more time to focus on your customers and stay in compliance with those that oversee the financial industry. From audits, to annual reviews, to licensing, the professionals with the Cobia Team have the experience and expertise to assist regardless of your unique situation.

Experienced

The Cobia Team is comprised of professionals who offer over 75 years of combined experience across the financial services industry. Their backgrounds include legal, banking, trust, brokerage, insurance, regulatory, and investment advisory.

Certified

Licensed to practice law in both Mississippi and Texas

CFE – Certified Fraud Examiner

CAMS - Certified Anti-Money Laundering Specialist

Local to Houston

Located in the Houston, TX area, we are here to serve small to medium size business who are looking for help with their compliance needs.

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