Welcome to Risk Management Services Inc. (“RMS”), your partners in compliance.


Participants in the capital markets face many challenges in today’s marketplace including increased regulation, investment product complexity, and the need to manage investor confidence.  RMS offers a wide range of compliance and risk management consulting services in order to meet these challenges.  Highly respected in the securities industry, RMS has a reputation for integrity and service excellence.

Our team of experienced compliance experts provides you with the advice, support, and resources you need to meet the challenges of today’s regulatory environment. We understand that firms operating in the same field of business have their own style, objectives and culture.  To this end, we take a flexible approach in responding to clients’ needs while at the same time operating within a disciplined framework and the rules and regulations of the industry.

It is our mission to provide exceptional compliance and risk management consulting services to the securities industry and the public.


Learn about the Risk Management Services Team What is new at Risk Management Services Compliance and Risk Management consulting for the financial industry