Independent Broker Dealer Consortium

Mitch Avnet

founder and Managing Partner (646) 346-2468

Member Firm Profile

CRC is a business-focused, team of senior compliance consultants and executives providing top tier compliance consulting services to clients on an as-needed, project or part-time basis. We provide our clients with the critical skills and expertise required to establish, maintain and enhance a balanced and effective compliance operational risk management program. We help organizations demonstrate a commitment to a strong risk management culture.

CRC handles the compliance consulting needs of both small and large companies

For companies with no in-house compliance implementation services, we handle ongoing, routine compliance matters at a fraction of the cost of traditional resources including counsel and compliance consulting services. For larger companies that have a CCO, General Counsel or in-house staff, we serve as overflow executives, acting as an extension of the in-house team to review and ensure compliance is working properly, manage spikes in workload or address under-served areas of the business.

Our Mission: Enabling Your Business is Our Business

The mission at CRC is to assist our clients in achieving their financial, operational and strategic goals. We do this by developing a clear and thorough understanding of each of our clients’ business models. We combine compliance and ethics culture, technology applications utilized to satisfy compliance and operational processes with supervision and internal/external reporting requirements. After we assess the inherent and residual risk in our clients’ business, we develop a comprehensive and realistic business-focused plan that will enable long-term, strategic and scalable success. As career industry Compliance Risk professionals, we understand that in this day and age, it is becoming more and more necessary to rely on technology to aid / assist in the execution of compliance risk management processes. Given the high volume of transactional activity, introduction of new products and services and unprecedented regulatory change in a weak economy, organizations must contemplate how they will survive and make the best use of resources – essentially “do more with less”. CRC compliance consultants brings a unique tailored approach to help our clients succeed in today’s challenging regulatory and economic environment, enabling and empowering our clients to manage the “cost of compliance” without sacrificing the necessary infrastructure and control environment.

Compliance Risk Concepts Website
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