What We Offer

Applying best compliance practices to business development for new and established firms

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Given the recent and ongoing challenges facing the financial services industry, a compliance resource that understands how the regulatory role can complement and add value to aggressive business development initiatives is of paramount importance. In the new world of ever-increasing transparency, those financial firms that are committed to staying compliant with evolving regulatory challenges will find themselves at a distinct competitive advantage.

ComplianceNow is dedicated to helping financial services firms, both existing and aspiring, to keep abreast of their compliance obligations, grow revenue and expand their reach.

“Make compliance an integral part of your business development mission.”

Patrick W. McKeon

Outstanding level of expertise

  • Over 27 years of financial industry professional expertise: Has worked closely with multiple financial services organizations in all sectors of the industry.
  • FINRA Regulatory Experience: In the course of a 13 year tenure with Financial Industry Regulatory Authority, Inc. (FINRA), have attained a profound understanding of the marketplace dynamics and regulatory issues that drive businesses as well as standard regulatory examination and disciplinary procedures.
  • Understands Product Distribution Strategies: Comprehensive understanding of sophisticated investment vehicles, distribution strategies and financial structures gained by working with the Financial Industry Regulatory Authority, Inc. (FINRA), broker-dealers, investment managers, mutual funds, custodians and transfer agents.
  • Knows how broker-dealers work: Has been a key supervisory and compliance principal with multiple broker-dealers.
  • Certified Financial Planner (CFP®): Registered and Certified as a Certified Financial Planner (CFP®). The CFP® designation is a professional certification mark for financial planners conferred by the Certified Financial Planner Board of Standards (CFP Board). To receive authorization to use the designation, the candidate must meet educational, testing, experience and ethics requirements. CFP® certification criteria require a mastery of nearly 1,000 topics on integrated financial planning. The topics cover major planning areas such as: General Principles of Finance and Financial Planning; Insurance Planning; Employee Benefits Planning; Investment and Securities Planning; State and Federal Income Tax Planning; Estate Tax, Gift Tax, and Transfer Tax Planning; Asset Protection Planning; Retirement Planning; and Estate Planning.
  • Business Development Expertise: Business Development skills proved to be critical to successfully launching and growing a broker-dealer, investment advisory, and transfer agency business that currently administers over $36 billion in 529 college savings program assets, as of June 30, 2012. Expert proficiency in regulatory compliance management, strategy formulation, and new business development gained from working with multiple business models spanning over 27 years of financial industry experience.
  • Over 11 Years of Securities Arbitration Experience: Comprehensive understanding of all the substantive and procedural requirements required for submission and adjudication of an arbitration claim through FINRA Dispute Resolution.

Patrick W. McKeon is registered and certified as a Certified Financial Planner (CFP®). The CFP® designation is a professional certification mark for financial planners conferred by the Certified Financial Planner Board of Standards (CFP Board). To receive authorization to use the designation, the candidate must meet educational, testing, experience and ethics requirements. CFP® certification criteria require a mastery of nearly 1,000 topics on integrated financial planning. The topics cover major planning areas such as: General Principles of Finance and Financial Planning; Insurance Planning; Employee Benefits Planning; Investment and Securities Planning; State and Federal Income Tax Planning; Estate Tax, Gift Tax, and Transfer Tax Planning; Asset Protection Planning; Retirement Planning; and Estate Planning.

Contact Patrick McKeon today