ROCS Consulting (Home)

<body bgcolor="#FFFFFF" text="#000000" background="Images/ROCSBkgrd.jpg" link="#8B4513" alink="#A52A2A" vlink="#DAA520" lang=EN-US OnLoad="SetTabs()"> <DIV ID="DocBody" ALIGN="left" STYLE="POSITION:absolute; VISIBILITY:visible TOP:0; LEFT:0; WIDTH:100%; HEIGHT:100%"> <div class=Section1> <p class=address>1011 McGill Park Avenue </p> <p class=address>Atlanta, Georgia 30312 </p> <p class=address>Telephone: 404-577-9792<span style="mso-spacerun: yes">   </span>Fax: 530-236-8267 </p> <p class=address>Email: <a href="mailto:support@ROCSConsulting.com"><span style='font-size:12.0pt;font-family:"Courier New";font-weight:normal'>support@ROCSConsulting.com</span></a></p> <p class=one><![if !supportEmptyParas]> <![endif]><o:p></o:p></p> <p class=one>ROCS Consulting provides Regulatory, Operations, Compliance, and Systems Consulting Services to the financial services industry. We provide assistance to Broker Dealers, Registered Investment Advisors, Banks, Trust Companies, Insurance Companies, Investment Companies, Bank Securities Dealers and Transfer Agents. Our services include Securities Compliance Regulation, Back Office Administration, Licensing and Registration, and Systems Technology. various regulatory bodies.</p> <p class=one>ROCS Consulting brings together a wealth of proven financial services expertise to provide solutions to the many challenges that your financial institution may encounter. </p> <h3><![if !supportEmptyParas]> <![endif]><o:p></o:p></h3> <h3>Our Approach:</h3> <p class=one>Our approach is to examine each client’s stated initiative and specifically analyze the potential implications from a regulatory, compliance, operational, and technological view point. After careful review by our experienced and professional staff, our goal is to make recommendations that further the desired objective. </p> <p class=MsoNormal><span style='font-family:"Times New Roman";mso-fareast-font-family: "Times New Roman";color:windowtext'><![if !supportEmptyParas]> <![endif]><o:p></o:p></span></p> <h3>Our Goal:</h3> <p class=one>Our mission is to support your efforts. It is our belief that a successful consultant should not only be competent, but also provide a seamless support service virtually invisible to all but the client. </p> <p class=one>At the end of the day our performance is measured by client achievement: </p> <p class=direct>YOUR SUCCESS </p> <p class=MsoNormal><span style='font-family:"Times New Roman";mso-fareast-font-family: "Times New Roman";color:windowtext'><![if !supportEmptyParas]> <![endif]><o:p></o:p></span></p> <h3>Our Strength:</h3> <p class=one>Our Consultants have many years of experience and a very diverse background in all sectors of the financial industry. This experience has included serving in the capacities of: </p> <ul style='margin-top:0in' type=disc> <li class=MsoNormal style='mso-list:l1 level1 lfo3;tab-stops:list .5in'><span style='font-size:9.0pt;mso-bidi-font-size:12.0pt;font-family:Verdana'>NASD and SEC broker/dealer, investment advisors, and investment company examiners <o:p></o:p></span></li> <li class=MsoNormal style='mso-list:l1 level1 lfo3;tab-stops:list .5in'><span style='font-size:9.0pt;mso-bidi-font-size:12.0pt;font-family:Verdana'>Broker/Dealer and RIA Compliance Director, Director of Information Systems, Operations Manager <o:p></o:p></span></li> </ul> <p class=one>We provide complete solutions examining each challenge from all angles and the potential impact to your organization. We draw upon our vast experience to provide the solution that is right for you. </p> <p class=MsoNormal><span style='font-family:"Times New Roman";mso-fareast-font-family: "Times New Roman";color:windowtext'><![if !supportEmptyParas]> <![endif]><o:p></o:p></span></p> <h3>Our People:</h3> <p class=one>Jeff Clark serves as the Managing Director of ROCS Consulting. Jeff was previously employed by the SEC as a Compliance Examiner and Staff Accountant. Jeff also functioned as the Team Leader responsible for coordinating examination of the larger broker/dealer, investment advisors, and transfer agents. Previous to his work with the SEC, Jeff served as a Senior Compliance Examiner at the NASD. </p> <p class=one>Jeff’s experience has also included serving as the Director of Compliance for a broker/dealer and registered investment advisor. Jeff was also a partner at Dover International, an Atlanta-based financial services consulting firm (now known as Bisys Professional and Educational Services). More recently Jeff was employed as a Manager of the Financial Services sector of KPMG Consulting’s Capital Markets Consulting practice.</p> </div> </DIV> <DIV ID="TabMenu" ALIGN="left" STYLE="POSITION:absolute; VISIBILITY:visible TOP:0; LEFT:30; WIDTH:100%; HEIGHT:100%">        </DIV>  <script type='text/javascript' src='https://count.carrierzone.com/app/count_server/count.js'></script> <script type='text/javascript'> </script>  </body>