Compliance Attorney
Long Island

Long Island Compliance Attorney for Financial & Corporate Regulation

Businesses operating in regulated industries face an ever-expanding web of federal and state requirements. A single compliance failure can trigger enforcement actions, steep fines, license revocations, and reputational damage that takes years to repair. As a compliance attorney serving Long Island, Nassau County, Suffolk County, and the greater New York metropolitan area, the Law Office of Jason Tenenbaum provides the regulatory counsel businesses need to operate confidently within the law.

Our compliance attorneys bring deep familiarity with SEC, FINRA, and global financial regulations across jurisdictions. Whether you run a broker-dealer, investment advisory firm, hedge fund, fintech startup, or insurance company, we build compliance frameworks tailored to your operations, risk profile, and growth plans.

Securities & Regulatory Compliance

The financial world lives under a microscope of federal and state regulations aimed at keeping fraud, insider trading, and misrepresentation in check. Compliance isn't optional — it's the backbone of survival. Our securities and financial compliance attorneys help clients build solid ground by creating SEC and FINRA policies for broker-dealers and investment advisors, tackling Dodd-Frank Act and Sarbanes-Oxley demands, and setting up compliance programs for private equity and hedge funds.

When regulators ask questions, we jump in with internal investigations or sharp responses. Facing enforcement from the SEC, CFTC, or FINRA? We fight back with a strong defense. From litigation support to routine audits, our compliance attorney team keeps financial institutions and trading platforms running within the law — protecting both the business and its investors.

Anti-Money Laundering (AML) & Financial Compliance

Financial crimes like money laundering and fraud loom large over banks, hedge funds, and fintech companies. Regulators keep raising the bar, making it tough to stay compliant. Our AML compliance attorneys craft risk-based programs that shield businesses from trouble. We've built frameworks for hedge funds, payment processors, fintech newcomers, and large financial players across borders.

These frameworks tackle the Bank Secrecy Act, USA PATRIOT Act, SEC standards, FinCEN's counter-terrorism financing requirements, OFAC sanctions, FINRA guidelines, and crypto-specific regulations. Clients get hands-on support with Know Your Customer and Customer Due Diligence processes, suspicious activity tracking, and timely reporting. If enforcement actions or regulatory scrutiny hit, our firm steps up with strategies designed to limit fallout.

Data Privacy & Cybersecurity Compliance

Data fuels modern business, but privacy and cybersecurity failures can trigger breaches, fines, and lawsuits. Finance, healthcare, tech, and e-commerce companies across Long Island feel this pressure most. Our privacy attorneys and compliance specialists have managed compliance for clients processing billions of data transactions monthly — from the U.S. to Europe, Australia, and Canada. We lock down compliance with GDPR, CCPA, HIPAA, New York's cybersecurity rules (23 NYCRR 500), and PCI-DSS for payment processors.

We draft privacy policies, data protocols, and vendor agreements that stand up to scrutiny. When breaches happen, we steer companies through the crisis and handle regulatory probes. International data transfers stay in our wheelhouse, especially with recent legal shifts. Facing privacy or cybersecurity litigation? We defend aggressively. Financial institutions, fintech ventures, healthcare organizations, and multinational firms trust our Long Island compliance attorney team to safeguard data and avoid legal traps.

Regulatory & Corporate Compliance

Compliance is a requirement for every business, large or small. Our team crafts plans that fit specific industries — from SOX compliance for public companies to PCI-DSS controls for e-commerce. Fintech and crypto firms get AML risk management, while insurance companies tap into healthcare compliance and billing audits.

The work doesn't stop at meeting today's rules. By monitoring regulatory shifts, we help clients stay a step ahead, turning compliance from a cost center into a competitive advantage. Businesses gain the freedom to grow without worrying about what's around the corner.

Why Long Island Businesses Choose Our Compliance Attorneys

Leaving compliance to chance isn't an option. Partnering with the Law Office of Jason Tenenbaum means tapping into battle-tested expertise that keeps businesses safe. We serve financial institutions, fintech startups, insurance companies, healthcare organizations, and any company grappling with regulations across Nassau County, Suffolk County, Queens, Brooklyn, Manhattan, and all of Long Island. Contact our compliance attorney team today for a consultation and take control of your regulatory obligations with confidence.