Who We Are

Summit Compliance Group, LLC is comprised of insurance and financial services compliance and cybersecurity consultants for 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 advertising compliance review, cybersecurity risk assessments, compliance assessments & audits, written policies & procedures development, compliance training, compliance consulting, RIA registration/compliance support, and much more.

Our team of experts bring decades of compliance and cybersecurity experience to the table, in both corporate and field environments. We specialize in making the complex insurance, investment, and cybersecurity 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 and broker-dealers/registered investment advisers, including serving as chief compliance officer.