Your Virtual Compliance Officer
“I don’t really want to learn about compliance, I just want someone to do it for me.” I can’t tell you how many times I have heard that. This service is designed for just that. Here’s how it works.

We take care of all of the forms, filings, and ongoing task management items for the firm. We even execute virtual supervision for Investment Advisers of the firm! We will guide you on what access is needed, consult with you on document sharing and transfer solutions, and communicate on a weekly basis to ensure we stay up to date on the firm’s changes. We have a system that allows for internal access through our Compliance Task Management partner, so that we can complete your compliance tasks for you. You don’t even have to log in!

When the Audit comes, we do full audit document prep, communicate with regulators on your behalf, and make changes and updates to the firm’s compliance programs in response to the regulator’s instructions. You can relax, knowing that your firm’s compliance program is taken care of.

We will create the agenda for the Annual Compliance Meeting, and execute that with your firm remotely. However, it is still imperative that you understand what’s happening with your firm’s compliance program. Therefore, this service requires that you attend and sign off on the Annual Compliance Review, and participate in the Annual Compliance Meeting for your firm.