Southern California Compliance Group provides an open forum around SoCal in Los Angeles, San Diego and Orange Counties where candid discussions with advisory, RIA employees, industry personnel and other members can take place. Collectively in our association, we have the experience to solve most current issues. This is the place to voice your professional compliance questions.
Compliance Focused Information You Can Use
SCCG quarterly meetings are aimed at compliance professionals within the financial services industry, including RIAs and BDs. Industry guest speakers report on recent developments, including new rules, regulations and information gathered from industry resources and conferences.
Our meetings also include members discussions and opportunities to share information, including peer input on issues affecting you. We encourage our members to participate at our meetings by making presentations, soliciting questions and discussing topics of interest. A complete roster of current membership is available to each member.
Finally SCCG offers a valuable venue for exchanging job opportunities and ideas with one another. We offer an impartial and unbiased venue: SCCG is a nonprofit organization—not affiliated with any association, regulatory body or investment firm. Our Board is composed of seasoned industry professionals focused on helping members strengthen their compliance programs.
Join Us
We appreciate your interest in our group and invite you to join us at our next meeting. If you are not already a member, non members may attend one meeting free to learn about SCCG! Please email secretary@sc-cg.org to request an invitation.
If you would like to join our group, you may fill out the application (add a link the membership page). We have meetings throughout Southern California in Los Angeles, San Diego and Orange Counties.
Please direct questions or comments to us via email at secretary@sc-cg.org.
Privacy Policy
SCCG respects our members' privacy. Employers seeking to recruit compliance professionals may list ads with SCCG, but member privacy is protected. Member identification is provided only to active SCCG members, solely for networking purposes. Member information is not released to third parties.