Straightforward solutions, in plain English.

A partnership for success

Sensible risk management shouldn’t come at the risk of your entrepreneurship. We know how to make compliance work for you to keep you moving forward.

Compliance designed for growth

Business man drawing chart on board to demonstrate compliance process

Enjoy direct access to our head of supervision, chief compliance officer, and chief risk officer for support and to understand the “why” behind our practices.

Our timely communications keep you up-to-date on policy changes and provide practical guidance for any hurdles you may face.

Leverage leading-edge tech tools, like Pinpoint Global, to simplify tasks and manage compliance demands.

Friendly support, not speed bumps

“The compliance platform is wonderful with real-time data input, reminders, and a dashboard that helps me stay on top of supervision guidelines and tasks.”

Tony Yu

Tony Yu

East West Bank

“The support of Cetera's Compliance team is a prime example of the reasons I've turned down numerous recruiters. They make our organization feel like a family.”

J. Todd Watkins

J. Todd Watkins

Philanthropy Financial

“Cetera has provided me and my clients with the highest level of support I've enjoyed since I entered the profession in 1983.”

Roger Turcotte

Roger Turcotte

Cetera Investors


Smooth the regulatory landscape

Staying compliant really can be easier and take up less time and energy. Connect with us to find out how.