Who We Are

Summit Compliance Group provides professional insurance compliance consulting and compliance outsourcing to insurance producers, marketing organizations, insurance carriers, Registered Investment Advisers and other financial institutions.

We offer a variety of customized and turn-key solutions to address your compliance needs including RIA registration and compliance support, advertising compliance review, producer supervision & oversight, written policies & procedures development, compliance training, compliance assessments, and much more.

Our team of compliance experts bring many years of extensive compliance experience to the table, in both corporate and field environments. We specialize in making the complex insurance and investment regulations understandable and are committed to helping our clients identify and manage their unique compliance risks.

 Protecting you - so you can grow your business.

MEET THE SUMMIT COMPLIANCE LEADERSHIP TEAM

Maureen James, FLMI, AIRC, ACS - Owner/Principal

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Maureen has nearly 30 years of compliance experience in the insurance, securities and registered investment adviser industries, including an extensive background in advertising compliance spanning over two decades. She has held numerous compliance management roles supporting corporate and field compliance initiatives, always embracing a strong client-centered approach.  She has a deep understanding of the complex compliance challenges her clients face and is committed to helping them identify and mitigate their compliance risks with practical, proven solutions.

Roger Hayashi, CLU, ChFC - Owner/Principal

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Roger's experience in the insurance and financial services industry spans nearly 30 years.  He began his career in accounting and passed the CPA exam before focusing on compliance for over 25 years.  Roger has held various leadership positions with large insurance companies, registered investment advisory firms and broker-dealers, including serving as chief compliance officer.