Services

Our Services: Practical Compliance Solutions for Every Stage of Your Firm’s Journey

We don’t believe in one-size-fits-all compliance. Our service models are built around your needs: whether that means hands-on, daily involvement or on-call strategic guidance.

Regulatory Compliance Advisory

We guide you through the complex requirements of SEC, FINRA, and state-level regulation. Services include:

 

  • Preparing and filing Form ADV, Form BD, Form U4, and other disclosures
  • Developing Written Supervisory Procedures (WSPs) and Codes of Ethics
  • Annual compliance reviews and gap analyses

  • Mock exams

  • Ongoing regulatory updates and rule change alerts

Outsourced Chief Compliance Officer (CCO)

When you need an experienced compliance leader without adding a full-time employee to your payroll, our Outsourced CCO service offers:

 

  • Acting as your designated CCO for all regulatory purposes
  • Conducting scheduled compliance meetings with staff and leadership
  • Reviewing advertising, marketing, and client communications for compliance
  • Reviewing trade activity and employee personal trading

  • Preparing and submitting certain regulatory filings and required reports

Cybersecurity & Risk Management

Regulators are increasingly focused on data protection, operational resilience, and vendor risk. We can:

 

  • Build Written Business Continuity and Disaster Recovery Programs
  • Assist your IT team with cybersecurity risk assessments
  • Assist with vendor cybersecurity due diligence

Due Diligence Reviews

Before you hire a vendor, or other business partner with a third party, we help you review the risks. Services include:

 

  • Operational due diligence questionnaires for service providers
  • Compliance assessments
  • Document review
  • Red flag identification and remediation planning
  • Integration of compliance functions