Radhi Banerjee | RND Resources IncCo-founder | Compliance Consultant

  • Compliance Consultant serving Broker-Dealer, Registered Investment Advisor, Hedge Fund and Private Fund offices, and Insurance Companies

  • FINRA and SEC – Licensing, Registration, Formation of Broker-Dealer | RIA

  • Policy and Procedure Manuals | Code of Ethics

  • Anti-Money Laundering Exams and Remediation

  • Branch Office Exams

  • Compliance Program Development and Monitoring

  • Mock SEC Exams, Internal Control Evaluations

  • Risk Assessment and Annual Review

  • Advertising and Marketing Review

  • Accounting and FOCUS filings

About Radhi Banerjee     

Radhi Banerjee is co-founder of RND Resources, Inc. a compliance consulting firm serving broker-dealers, registered investment advisors, hedge and private funds, and insurance professionals.

She specializes in securities regulation for investment adviser, broker-dealer and private fund practices including; formations, regulatory compliance, examination support, and operational risk management. Her expertise focuses on areas of policies and procedures, anti-money laundering and testing, conducting annual business reviews and risk assessments, performance advertising, best execution, and more. 

She frequently provides training and guidance on new industry regulation, firm element training, anti-money laundering remediation, and development of internal controls and supervision; to FINRA and SEC registered firms, and other finance professionals.  As a compliance consultant she has expertise in document creation, assists firms in the annual internal testing and CEO Certification, prepares written responses to regulatory exams, Form BD and ADV development, code of ethics plans, supervisory procedures manuals, AML programs, and insurance registration.  Radhi has completed countless on-site visits to firms to complete branch exams, and annual business/risk reviews in her responsibilities of ongoing compliance services to regulated entities.

Since 1990, Radhi has worked with broker dealer, registered investment advisor, and insurance firms providing practical compliance solutions. In her many years of compliance consulting, she has acquired an in-depth expertise in FINRA and SEC compliance, as well as many other areas of the securities industry. She has successfully helped guide hundreds of investment professionals through the ever-changing maze of compliance regulations.

Radhi Banerjee earned her MBA from Thunderbird, The Garvin School of International Management located in Glendale, Arizona.

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Need help with a compliance problem? Contact Radhi Banerjee at (818) 657-0288 ext. 302, or submit a request using the form below

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