Who We Are
Summit Compliance Group provides affordable, customized compliance services for Insurance producers, Independent Marketing Organizations, Insurance Carriers, Registered Investment Advisers (RIAs), and other Financial Institutions.
For more than thirty years, we have been making regulatory compliance a practical part of your business so you can focus on growth. We specialize in making complex insurance and investment regulations understandable and are committed to helping our clients identify and manage their unique compliance risks.
We offer a variety of customized and turn-key solutions to address your needs including advertising compliance review, compliance training, distribution compliance, compliance assessments & audits, written policies & procedures development, cybersecurity risk assessments, RIA registration and compliance support, and much more.
Making regulatory compliance work for you, not against you.
Maureen James, FLMI, AIRC, ACS - Owner/Principal
Maureen, FLMI, AIRC, ACS: With a career in compliance spanning more than three decades, Maureen’s expertise includes the insurance, securities and registered investment adviser industries, with an extensive background in advertising compliance. She has held numerous compliance management roles supporting corporate and field compliance initiatives, always embracing a strong client-centered approach. Maureen is former President of her local Association of Insurance Compliance Professionals (AICP) chapter and is a current board member for the Insurance Advertising Compliance Association (IAdCA). In addition, she serves on the Board of Directors for the National Association for Fixed Annuities (NAFA) and has been recognized by NAFA as one of the women, past and present, pioneering annuity distribution. Maureen has previously held Series 6, 7, 24, 26, 63, and 65 registrations.
Roger Hayashi - Owner/Principal
Roger has over thirty years of compliance experience in the insurance and financial services industries. His career began in accounting where he passed the CPA exam before concentrating his focus on compliance. Roger has previously been a chief compliance officer for a broker/dealer and has held various compliance leadership positions with large insurance companies, broker-dealers, and registered investment advisers.