What services does FinGuard Compliance, LLC provide?
FinGuard Compliance, LLC provides legal and compliance consulting for financial institutions, fintechs, and regulated product companies. Services include policy and procedure development, vendor management, bank-fintech partnership compliance, enterprise risk management, compliance governance, and support through state and federal examinations among many other services.
Is FinGuard Compliance, LLC a law firm, and does working with you create an attorney-client relationship?
FinGuard Compliance, LLC provides compliance consulting services. Information on this website is for general informational purposes only and does not constitute legal advice. No attorney-client relationship is formed by visiting this site or submitting a contact form; that relationship begins only through a signed engagement agreement.
What industries and company sizes do you work with?
I work with small, medium, and large sized organizations. I work best with growth-oriented financial services companies, fintechs, and regulated product organizations — including companies expanding into new states, organizations building or scaling bank partnerships, and Boards that want clear visibility into risk rather than surprises.
What states are you licensed in, and can you work with clients outside those states?
I'm licensed in Ohio, Indiana, and Kentucky, and before the Supreme Court of the United States. Compliance consulting services are available to clients throughout the United States; where formal legal representation requires local counsel, I can advise on that as part of an engagement.
How does an engagement typically start?
Most engagements start with a short introductory call to understand your current compliance posture, upcoming regulatory deadlines or exams, and where you need support. From there, I'll scope the engagement and outline next steps.
Do you offer one-time projects, or ongoing support?
Both. Engagements range from focused projects — like a policy rebuild, new product launches, exam preparation, or vendor management review — to ongoing advisory support for organizations that want continued access to compliance guidance as they grow.
How do you handle confidentiality?
All engagement details, documents, and communications are treated as confidential. Specific confidentiality terms are outlined in the engagement agreement, and an NDA can be executed prior to any detailed discussion if needed.
How do I get started?
Reach out through the contact form or by phone, and I'll follow up to schedule an initial conversation.
Pricing
While other companies charge high hourly rates I do not. I use a project based projection and provide simple, clear, transparent pricing based on the level of time and complexity of the services. Interested in learning more lets set up a prospect meeting to discuss.
