“Spot On” Solutions for today’s evolving regulatory environment.

Spotlight Compliance Solutions, LLC

Comprehensive Compliance Solutions for Broker-Dealers and Investment Advisors.

The Spotlight Difference : Why choose Spotlight ?

Our Mission Statement : The aftermath of the 2008 financial crisis created a constantly changing regulatory landscape that makes staying ahead of the compliance curve challenging . Here at Spotlight Compliance Solutions, we will work beside you to meet the challenges of regulation as a valued member of your team. Every client , every concern matters to us. We value your time and your opinions, welcome your questions and look forward to providing you with cost effective solutions that will assist in making your compliance program the best it can be.

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A tailor-made solution

Compliance officers and supervisory staff must follow a rigid set of rules and processes, but what might be right for one firm might not be right for another, since not all firms need to focus in the same specific areas. We’ll partner with you to produce a customized compliance program that will work efficiently and cost effectively.

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A customer service ethic

We are dedicated to providing you with the right answer to your questions. We pick up the phone when you call and do our best to get you the answers you need within a short time period, usually 24-48 hours.

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The Power of Teamwork

Spotlight Compliance will not only help and educate you when it comes to interpreting new regulations, but will work on providing and implementing systematic changes quickly , so that you can get back to the thing that matters most, time to concentrate on your business.


Jack is an extremely detail oriented Compliance Officer and professional. His ability to build department infrastructure through technology, supervisory, and policy updating with full service implementation was exactly what my company needed (and then some!). Jack has great work ethic, is a very can do personality, is trustworthy, dependable, independent, and caring. If you need a top notch Compliance officer/CCO, I highly recommend Jack. You will not be disappointed.

Cari Grill (Director of HR/Head Recruiter at Trillium)

I found Jack to be extremely knowledgeable and always willing to go above and beyond to find the appropriate solution to any challenge the firm faced from a financial and compliance standpoint.

Tony Barral (Executive Director at Morgan Stanley)

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Contact Us Today:

e-mail: jack@jackfaller.com
Office: 732-242-4018
Cell 973-769-6253