We serve domestic and international clients primarily in South Florida, the Northeast, Latin America and Europe. We offer market and regulatory consulting to banks, broker dealers, investment advisors, family offices, and hedge funds. We also offer expert witness and securities litigation support in banking and securities industry cases ...
Services
Our Anti-Money Laundering (AML) services include: Independent AML Compliance Review, AML/OFAC Risk Assessment, Foreign Financial Institutions Due Diligence Reviews, Customized Training, Outsourced Compliance Functions...
Anti Money Laundering
We offer expertise in international private banking, doing business offshore and cross border transactions, with a focus in Latin America. Our services include: Anti-Money Laundering (AML) Reviews and Testing, Risk Assessments, Development and Enhancement of Operational Risk Program, Testing and Controls ...
Banks
Our firm offers investment advisors, family offices, hedge funds and private equity firms: turn key SEC and State Investment Advisor Registrations, Compliance Program Independent Testing and Gap Analysis, Counterparty/Service Provider Due Diligence, Outsourced Compliance Support ...
Investment Advisors
Our broker-dealer services include: Independent Annual Anti Money Laundering Audit, Supervisory Controls Risk Assessment, Annual CEO Certification, Mock Regulatory Audit, Branch office and Office of Supervisory Jurisdiction (OSJ) Inspections, Due Diligence Reviews, Customized Training, Outsourced Compliance Support...
Broker-Dealers
We are a boutique consulting firm offering market and compliance consulting to banks, broker-dealers, investment advisors, family offices, and hedge funds.
Anti Money Laundering
• Independent AML Compliance Review
• Risk Assessments AML/OFAC ...
Banks
Broker-Dealers
• Initial and Continuing (Rule 1017) FINRA Membership Application
• Annual CEO Certification / Supervisory Controls Assessment ...
Investment Advisors ...
• Investment Advisor Registration – SEC and State Filings, Form ADV ...
Litigation Support
Registered Representatives
V & V Consulting Services
About V & V Consulting
Vivian Velazquez is the founder of V&V Consulting Group. She has over 25 years of securities industry experience in the private and regulatory sectors. She previously held senior compliance positions at global and national financial institutions with billions in assets under management and offices throughout the U.S and Latin America. Vivian played a leading role in the successful launch of the broker-dealer subsidiary for a global European bank, supported major conversions, mergers, business restructurings, Anti-Money-Laundering regulatory look backs and remediation mandates for leading US financial institutions. Read more ...