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.

AML Services

Independent Anti-Money Laundering Reviews

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. Cobia guarantees that at least one Cobia associate on site at every audit will hold the CAMS (Certified Anti-Money Laundering Specialist) credential.

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Annual Reviews & Exams

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 so that we can provide customized compliance solutions rather than boiler-plate templates that leave you wondering as to the next step to take.

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Broker Dealer Licensing & Registration

Start Your New Business in Compliance

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 and feel confident that your business is getting started on the right foot.

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