Compliance Program Oversight & Governance
DOES YOUR COMPLIANCE PROGRAM
REFLECT YOUR BUSINESS AND RISKS?
Build a compliance program that works for your business—not just for the SEC and state regulatory requirements.
We help SEC- and state-registered investment advisers identify gaps between regulatory requirements, written policies, disclosures, agreements, workflows, and how the firm actually conducts its business—so your RIA compliance program addresses the risks that matter.
Is Your Compliance Program
Working The Way It Should?
A compliance program can look complete on paper and still have gaps. We look beyond the compliance manual to determine whether your policies and procedures are tailored to your business, followed in practice, and tested for effectiveness.
POLICIES
PRACTICES
OVERSIGHT
Do they reflect your actual business and risks?
Do they match what your policies and disclosures say?
Is your program actually being tested?
Policies should be tailored to your firm's operations, products, relationships, clients, and risks.
Day-to-day practices should reflect the policies, disclosures, agreements, and compliance requirements that govern your firm.
Testing and monitoring should identify problems before they become larger issues.
Compliance Program
Development &
Enhancement
Develop or enhance your compliance program policies and procedures to reflect your firm's operations, risks, and SEC and state regulatory requirements.
How We Strengthen Your Compliance Program
Compliance Testing & Monitoring
Test whether your compliance policies and controls are working as intended—and identify issues before they become larger compliance concerns.
Annual Compliance Program Reviews
Evaluate the effectiveness of your compliance program, including changes in your business operations, risks, policies, disclosures, and controls.
Compliance Risk Assessments
Identify the compliance risks most relevant to your firm and determine whether your compliance policies, controls, and monitoring address them.
Compliance Manuals
& Policies
Develop, review, and update compliance policies so they reflect your firm's actual practices, risks, and regulatory requirements.
SEE YOUR COMPLIANCE PROGRAM
THROUGH AN EXAMINER'S LENS
Our team of former SEC examiners and managers know the questions that can expose a gap between what a policy says and what a firm actually does.
We use that perspective and decades of SEC experience to help identify weaknesses before they become examination findings.
We know what regulators look for because we have been on their side of the table.
EXAMINER PERSPECTIVE
PRACTICAL SOLUTIONS
We focus on controls and procedures your staff can actually follow.
RISK-FOCUSED
We concentrate on the risks that matter to your firm and your clients.
What We Help Firms Achieve
Identify Compliance Risks
Focus on the risks created by your firm's actual activities, relationships, clients and business model.
Align Policies With Practices
Ensure policies, procedures, disclosures, and agreements accurately reflect how your firm operates.
Test & Monitor Key Controls
Determine whether important controls are actually working.
Document Compliance Activities
Maintain clear evidence of how your program operates and is seen.
Address Weaknesses & Remediate Issues
Identify issues, determine appropriate corrective actions and strengthen your compliance program.
Maintain Examination Readiness
Stay prepared for regulatory scrutiny—not just when a notice arrives.
Compliance Support Built Around Your Firm
Ongoing Compliance Consulting &
Regulatory Guidance
Expert RIA compliance guidance and CCO support, tailored to your firm's needs.
Outsourced Chief Compliance Officer (OCCO)
Experienced RIA compliance leadership without the cost of a full-time CCO.
Project-Based Support
Focused expertise for a specific compliance program need, issue, or initiative.
