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I am a savvy legal/compliance veteran, with 25 years regulatory compliance expertise involving SEC Rules 38a-1/206(4)-7, USA PATRIOT Act, SEC Regulation S-P, Sarbanes-Oxley, as well as NASD, .SEC 1933, 1934, 1940 and Advisers Act compliance. Because of the explosion of post 9/11 new regulations that now impact the financial services iindustry as a result of the Enron/Worldcom and mutual fund scandals, demand for qualified professionals is already exceeding the supply, because the regulations are so new. As a result, I decided to form my own consulting firm to help the financial services industry cope with compliance by providing them with experienced, qualified regulatory compliance professionals.My company is a boutique regulatory compliance consulting firm that specializes in providing proactive compliance solutions to the financial services industry. The company also provides e-compliance solutions for clients upgrading their technology to automate their compliance programs. In addition to communicating directly with prospective clients, I am also strategically partnering with other compliance consulting firms, to leverage the financial services industry?s demand for qualified regulatory consultants that is already outstripping the supply. At the moment, I am partnering with five other consulting firms. Summer is when financial services firms do their fall planning and 2007. By September, the market will really heat up, as these firms scramble to fill positions; because there are a finite number of qualified professionals, these firms may not be able to fill the permanent spots, which means they will need to turn to consulting firms to cover the shortfall.A few weeks ago I kicked off a significant e-advertising campaign. Google analytics stats went through the roof! During the two weeks run on Ignites.com, the web click stats for web clicks for my company's website were second only to Oppenheimer! I now have on board 30+ compliance consultants located nationwide. The caliber of my consultants is astounding ? former CCOs, SEC/NASD examiners, state securities commissioners. About 75% of them have 20+ years experience; 25% 10+ years regulatory experience. Virtually all have advanced degrees -- law, financial, IT.Because advertising is paramount yet expensive, I need a $10K loan to cover advertising costs. I also owe my Web designer $500. Ideally I need a $25K loan for working capital (computer, printer, Quickbooks, Dreamweaver).As mentioned in my intro, I have been extensive compliance experience. I stay abreast of new regulations by reading the WSJ and related publications every morning. I also have an extensive network of contacts and know the major industry players, including their legal and compliance officers. The company name, which begins with my last name, has significant brand recognition in the industry. My business is already taking off. Now I just need a loan to cover advertising costs and working capital . |
