YOU FOCUS ON CLIENTS

WE FOCUS ON COMPLIANCE

Strategic Compliance Consulting offers a variety of regulatory compliance consulting services that are designed to assist you in meeting regulatory obligations. Some of the services we offer include:

Registration Services – Are you ready to go independent? Exasperated with the GRID payout system? Tired of selling proprietary products? Seeking autonomy in the way you service clients?  We can help! We will assist you with all aspects of RIA registration. After helping you decode the regulatory requirements for registration, we will use our expertise to prepare the requisite regulatory disclosure documents, make the regulatory filings, respond to regulatory feedback, and develop an initial compliance program for your new firm.

Compliance Program Development and Implementation – We can help you implement, review, strengthen, or overhaul your compliance program by providing actionable advice and guidance. Is your firm meeting its supervisory requirements? Is your risk assessment comprehensive? What about marketing, advertising, and communications with the public, are you reviewing these items thoroughly?  Is your firm equipped to handle registration updates and other interim filing requirements accurately and on time? Do you have all of the policies and procedures necessary to avoid unethical business practices or violations of the governing securities regulations? We will help you evaluate these areas and more, to improve your compliance program. Our services are tailored to meet your firm’s specific needs, which is exactly what regulators require of you. We can conduct a review of a single aspect of your compliance program or provide a review of your firm’s entire compliance program. Whatever works for you!

Compliance Audit Support Services – We prefer to be proactive (instead of reactive) in providing compliance support solutions.  Whether you need help preparing for a regulatory compliance audit by proactively uncovering potential risks or only need post audit assistance to cure deficiencies or weaknesses, we offer compliance services designed to support responses to regulatory inquiries.

Compliance Training – Our compliance training programs provide content specific training to your firm’s key decision makers. Our training encompasses a review of the firm’s current compliance program and operational process against regulatory requirement.  After each assessment, we provide an outline of the regulatory requirements and our suggestions for solutions.  This compliance training can also be driven by your firm’s own analysis of the weaknesses in your current policies and procedures. These training sessions will equip your firm’s Chief Compliance Officer, Chief Executive Officer, and other key decision makers with the knowledge necessary to ensure that the firm meets its regulatory compliance obligations. 

Financial services firms are currently faced with many internal and external risks.  Unmanaged risks can expose your firm to a potential loss of significant revenue, a marred reputation, or severe impairment to a competitive advantage. Failing to take regulatory compliance mandates seriously is simply no longer an option.