Welcome!

News Feed Item

Regulatory Compliance Announces Angell Pension's Jeffrey Bauer as Partner

Regulatory Compliance builds management team and infrastructure to support growth

BOSTON, March 5, 2014 /PRNewswire/ -- Jeffrey Bauer, president of Angell Pension Group, a national leader in third-party pension plan administration and compliance, has become a partner at Regulatory Compliance, a national leader in providing comprehensive broker-dealer and investment adviser compliance services. This partnership will give clients access to the extensive compliance expertise and resources of both firms. Angell Pension Group is headquartered in Providence, Rhode Island, and Regulatory Compliance has offices in Boston, New York City and southern New England.

"There is a natural synergy between the firms and their compliance services," says Bauer. "Over the past 25 years, Regulatory Compliance CEO Steve Sussman has built a foundation for growth through high-level talent and support services. We share similar philosophies on the importance of providing hands-on customized service to our clients, and doing so staffed with professionals who have deep, practical experience as either regulators or industry experts in each of their fields. Our staff is a critical component of service excellence and growth, and the marketplace itself is poised for growth with the government's focus on creating new regulations."

Regulatory Compliance's strong growth has been buttressed by key additions to the firm's executive ranks, including Mark Alcaide, MBA, CPA, to its management team as chief operating officer and chief financial officer. Alcaide brings more than 20 years of experience in operations and finance in the financial services industry. Seasoned sales executive Marcy Kalat has also joined the firm as West Coast director of sales, and additional compliance services and professional compliance staff has been added.

"Mark Alcaide joining Regulatory Compliance as COO adds to my confidence that the firm is poised to go to higher and higher growth levels," says Bauer. "The infrastructure and staff are in place to support expansion of the firm."

"Our substantially deepened capabilities and infrastructure investments allow us to bring enhanced services to additional clients," adds Alcaide. "In light of the increased level of SEC scrutiny of investment advisers and broker-dealers, we are perfectly positioned to help clients navigate these choppy waters."

An indication of the firm's growing presence in the industry is Regulatory Compliance recently being selected as a preferred compliance vendor by one of the nation's largest brokerage firms. The program includes nationally recognized providers in the financial services business and offers third-party compliance services to financial advisers.                    

"Our focus is on helping firms create a risk-based compliance culture to avoid regulatory issues," says Regulatory Compliance CEO Steve Sussman.

For more information on Regulatory Compliance Conference Unplugged, visit RCunplugged.com or contact Sarah Vaira at 603-216-8919 or [email protected] or visit RegulatoryCompliance.com.

About Regulatory Compliance
Regulatory Compliance brings 25 years of experience to assisting broker-dealers and investment advisers in meeting critical compliance requirements and regulatory filing deadlines. Our seasoned professionals are highly skilled in navigating the complex FINRA, SEC and state registration processes and keeping registered firms in compliance with securities regulations. Firms receive ongoing compliance support through our PartnerProgram, selecting the level of proactive support that best meets their needs - from testing and exams to FinOp services, compliance manuals, continuing education and more.

About Angell Pension Group
Founded in 1971 as an actuarial consulting firm, Angell Pension Group is one of the nation's oldest and largest third-party administration and compliance firms, providing services to more than 3,000 clients nationwide. The firm provides a full array of administrative, actuarial, Section 125 and nonqualified services, focusing on keeping clients' retirement and benefit programs in compliance. We seek out top-notch talent and hire only the best and brightest professionals who can provide outstanding client service. Expert planning, careful documentation, efficient management and compliance-related testing are our specialty, as we service the needs of qualified retirement plans through payroll integration.

Business Contact:
Sarah Vaira, Operations Manager
Regulatory Compliance
[email protected]
(603) 216-8919

SOURCE Regulatory Compliance

More Stories By PR Newswire

Copyright © 2007 PR Newswire. All rights reserved. Republication or redistribution of PRNewswire content is expressly prohibited without the prior written consent of PRNewswire. PRNewswire shall not be liable for any errors or delays in the content, or for any actions taken in reliance thereon.

Latest Stories
If there is anything we have learned by now, is that every business paves their own unique path for releasing software- every pipeline, implementation and practices are a bit different, and DevOps comes in all shapes and sizes. Software delivery practices are often comprised of set of several complementing (or even competing) methodologies – such as leveraging Agile, DevOps and even a mix of ITIL, to create the combination that’s most suitable for your organization and that maximize your busines...
Struggling to keep up with increasing application demand? Learn how Platform as a Service (PaaS) can streamline application development processes and make resource management easy.
In his session at @ThingsExpo, Chris Klein, CEO and Co-founder of Rachio, will discuss next generation communities that are using IoT to create more sustainable, intelligent communities. One example is Sterling Ranch, a 10,000 home development that – with the help of Siemens – will integrate IoT technology into the community to provide residents with energy and water savings as well as intelligent security. Everything from stop lights to sprinkler systems to building infrastructures will run ef...
You think you know what’s in your data. But do you? Most organizations are now aware of the business intelligence represented by their data. Data science stands to take this to a level you never thought of – literally. The techniques of data science, when used with the capabilities of Big Data technologies, can make connections you had not yet imagined, helping you discover new insights and ask new questions of your data. In his session at @ThingsExpo, Sarbjit Sarkaria, data science team lead ...
Whether your IoT service is connecting cars, homes, appliances, wearable, cameras or other devices, one question hangs in the balance – how do you actually make money from this service? The ability to turn your IoT service into profit requires the ability to create a monetization strategy that is flexible, scalable and working for you in real-time. It must be a transparent, smoothly implemented strategy that all stakeholders – from customers to the board – will be able to understand and comprehe...
SYS-CON Events announced today that Peak 10, Inc., a national IT infrastructure and cloud services provider, will exhibit at SYS-CON's 18th International Cloud Expo®, which will take place on June 7-9, 2016, at the Javits Center in New York City, NY. Peak 10 provides reliable, tailored data center and network services, cloud and managed services. Its solutions are designed to scale and adapt to customers’ changing business needs, enabling them to lower costs, improve performance and focus inter...
In the world of DevOps there are ‘known good practices’ – aka ‘patterns’ – and ‘known bad practices’ – aka ‘anti-patterns.' Many of these patterns and anti-patterns have been developed from real world experience, especially by the early adopters of DevOps theory; but many are more feasible in theory than in practice, especially for more recent entrants to the DevOps scene. In this power panel at @DevOpsSummit at 18th Cloud Expo, moderated by DevOps Conference Chair Andi Mann, panelists will dis...
See storage differently! Storage performance problems have only gotten worse and harder to solve as applications have become largely virtualized and moved to a cloud-based infrastructure. Storage performance in a virtualized environment is not just about IOPS, it is about how well that potential performance is guaranteed to individual VMs for these apps as the number of VMs keep going up real time. In his session at 18th Cloud Expo, Dhiraj Sehgal, in product and marketing at Tintri, will discu...
So, you bought into the current machine learning craze and went on to collect millions/billions of records from this promising new data source. Now, what do you do with them? Too often, the abundance of data quickly turns into an abundance of problems. How do you extract that "magic essence" from your data without falling into the common pitfalls? In her session at @ThingsExpo, Natalia Ponomareva, Software Engineer at Google, will provide tips on how to be successful in large scale machine lear...
Machine Learning helps make complex systems more efficient. By applying advanced Machine Learning techniques such as Cognitive Fingerprinting, wind project operators can utilize these tools to learn from collected data, detect regular patterns, and optimize their own operations. In his session at 18th Cloud Expo, Stuart Gillen, Director of Business Development at SparkCognition, will discuss how research has demonstrated the value of Machine Learning in delivering next generation analytics to im...
Unless you don’t use the internet, don’t live in California, or haven’t been paying attention to the recent news… you should be aware that self-driving cars are on their way to becoming a reality. I have seen them – they are real. If you believe in the future reality of self-driving cars, then continue reading on. If you don’t believe in the future possibilities, then I am not sure what to do to convince you other than discuss the very real changes that will roll out with the consumer producti...
Up until last year, enterprises that were looking into cloud services usually undertook a long-term pilot with one of the large cloud providers, running test and dev workloads in the cloud. With cloud’s transition to mainstream adoption in 2015, and with enterprises migrating more and more workloads into the cloud and in between public and private environments, the single-provider approach must be revisited. In his session at 18th Cloud Expo, Yoav Mor, multi-cloud solution evangelist at Cloudy...
There is an ever-growing explosion of new devices that are connected to the Internet using “cloud” solutions. This rapid growth is creating a massive new demand for efficient access to data. And it’s not just about connecting to that data anymore. This new demand is bringing new issues and challenges and it is important for companies to scale for the coming growth. And with that scaling comes the need for greater security, gathering and data analysis, storage, connectivity and, of course, the...
This is not a small hotel event. It is also not a big vendor party where politicians and entertainers are more important than real content. This is Cloud Expo, the world's longest-running conference and exhibition focused on Cloud Computing and all that it entails. If you want serious presentations and valuable insight about Cloud Computing for three straight days, then register now for Cloud Expo.
IoT device adoption is growing at staggering rates, and with it comes opportunity for developers to meet consumer demand for an ever more connected world. Wireless communication is the key part of the encompassing components of any IoT device. Wireless connectivity enhances the device utility at the expense of ease of use and deployment challenges. Since connectivity is fundamental for IoT device development, engineers must understand how to overcome the hurdles inherent in incorporating multipl...