Compliance Consulting Services

Taking your ACCURACY to the next level

We approach each of our clients with fresh eyes to develop customized, unique strategies.

Compliance

• Regulatory inqueries

• Independent AML test

• Annual CEO/CCO certifications

• Annual report on sup controls

• Preparation of reg responses

• Mock exams

• FINRA CMA/NMA and Mat Cons

FINOP Services

Minimize your chance of risk factors Part-time Finop Services.

Diversity and Inclusion

• Ensuring an inclusive workplace where employees feel comfortable bringing issues to the table

Blockchain

• ICO

• Compliance with FINCEN Rules and licensing

• Assistance with State licensing for money transmitters

About Us

Our EXPERTS are the finest.

Julia Ulloa has 18 years experience in various roles at FINRA (previously NASD) and The Federal Reserve Bank of New York. Throughout her career, Mrs. Ulloa has managed portfolios of domestic and international firms. She is an expert in FINRA’s Nine Risk Hierarchy (Accuracy of Regulatory Capital, Liquidity, AML, Operations, Sales, Market, Fraud, Credit and Segregation of Client Assets). 

 

Mrs. Ulloa oversaw sales practice, financial and operational activities of assigned firms to ensure compliance with FINRA and SEC Rules.  She provided supervisory perspective as to the overall safety and soundness of firms undergoing mergers, acquisitions, conversion and signification business expansions. Mrs. Ulloa also provided guidance on routine sales practice examinations, special investigations and financial surveillance. Additionally, she provided firms with interpretations of FINRA and SEC Rules and assisted them in conducting business within regulatory guidelines. 

 

In addition to forming part of FINRA’s Member Regulation Team Mrs. Ulloa was an integral member of innovative initiatives such as Employee Resource Groups. She had a significant role in the development of FINRA’s Employee Resource Groups and served as Co-Chair for one of them.

 

Client Testimonials

Josh Phillip

Great agency! Mrs. Ulloa is very professional. That's the key. I always like working with companies that know their clients needs and that you can count on to provide a quality service experience.

Gabriella Spring

JU Regulation does a great job for us and they are our #1 referral for FINRA regulatory compliance, testing and training.

Louise Maxwell

Never fails to exceed our expectations. They always go above and beyond with their testing to make sure that we have the highest level of compliance. Thank you for the amazing support!

Regulatory Highlights & Market News

FINRANEWS

SECNEWS

 
 
 

Contact us

Contact us and get the answers to your questions.

Email & Phone:

Julia@juregulation.com

(949) 600-8237

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Address

620 Newport Center Drive Suite 1100

Newport Beach CA 92660

Speak With An Expert (949) 600-8237

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