Asset Management & Broker-Dealer Compliance
Our investment management and broker-dealer compliance professionals partner with financial institutions to implement and maintain a practical risk-based approach. Our methodology is to first understand a firm’s business, then to determine how best to tailor a sound compliance program that satisfies both regulatory and investor concerns. We specialize in identifying and evaluating risks that are truly unique to your firm, and we provide a tailored fit to your firm’s activities so you can lower the cost of compliance.
Our team of investment advisor compliance and wealth management compliance professionals has successfully assisted: investment advisors, mutual funds, hedge funds and broker-dealers, and wrap platform sponsors (SMA, UMA, and dual contract) to meet their immediate and long-term compliance needs.
Furthermore, we have bridged the gap that has traditionally existed between the Wealth Management Trust operations of banks, broker-dealers, and registered investment advisors to successfully operate under a common fiduciary objective.
We commonly perform:
- Compliance Program Assessments and Remediation
- Compliance Program Development and Implementation
- Mock Exams
- Compliance Co-sourcing and Full Outsourcing
- Limited or Focused Reviews
- Integration of Wealth Management Activities for Trusts, Investment Advisors, and Broker-Dealers
- Due Diligence
- Investigation and Forensic Capabilities
- Compliance Training
- On-site Support During a Regulatory Exam
- Rules 206(4)-7 and 38a-1 Annual Reviews and Broker Dealer 5130 Certification
Our staff members have a minimum of 10 years of practical experience and include:
- Former SEC and FINRA Branch Chiefs and Examiners
- Former Chief Compliance Officers
- Forensic Specialists and Litigation Support
- Technology Specialists Including Industry Senior Operations Specialists
- Former Audit Partners from the Big Four
- Internal Audit Heads
Learn more about how we are uniquely qualified to serve your financial institution:
» International Banks
» Community Banks
» Credit Unions
» Bank Holding Companies
» Money Service Businesses
» Asset Management Firms
