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Softek Compliance provides governance, risk management and compliance solutions to financial services firms. Our clients include banks, broker dealers, swap dealers, investment advisors, hedge funds, asset managers, commodity pool operators, commodity trading advisors, commercial end users, and service providers.

Led by industry specialists, Softek's team has decades of expertise that enable us to understand the challenges of today’s complex compliance environment. Unlike many consulting firms, our team members come from businesses that have grappled with sophisticated business models, which enable us to address the specific challenges of trading, trade reporting and control frameworks. Our teams is also skilled at leveraging technology to satisfy compliance requirements efficiently.


There is a growing compliance issue within the financial services industry where the cost to staff / retain the best compliance talent is becoming more and more challenging, while regulatory and reputational risk is skyrocketing. Chief Compliance Officers are left in a precarious position trying to stay within tight budgets while maintaining functioning compliance programs. Firms are able to meet rigorous compliance requirement on a cost effective basis by outsourcing various components of their compliance programs to Softek Compliance.


Softek Compliance collaborates with our clients. We work with our clients to evaluate their risk levels and then ensure that our advice is within those parameters. We are also known for our innovation in problem solving. Many solutions can be implemented with tools already used within the firm. Recommendations are kept as simple as possible. Our goal is to create cost conscious processes and programs that are sustainable and repeatable while meeting regulatory requirements


What sets Softek Compliance apart from other alternatives is the ability to offer seasoned and capable industry professionals who deliver high quality work at value prices. As a result of our experience, our experts can step into an organization and quickly assess and integrate ourselves within the firm and create immediate, positive impact.

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