Compliance and Risk Solutions for Wealth Managers

We can help wealth managers build, maintain, and scale compliance programs with support that includes:

• Development and review of policies and procedures
• Annual compliance reviews and mock audits
• Regulatory exam preparedness and remediation
• Support with Form ADV filings, code of ethics, and disclosures
• Outsourced Chief Compliance Officer services
• Breakaway adviser services

Our ComplianceAlpha^® platform helps automate and centralize key compliance activities:

• Personal trading and employee certifications
• Advertising and communications review workflows
• Risk assessments and testing
• Compliance testing
• Email archiving and review
• Data aggregation and reporting

Yes. We provide ongoing regulatory guidance and tools to help firms and advisers going independent to comply with rules from the SEC, state regulators, and other relevant regulators, including Marketing Rule updates, cybersecurity requirements, and fiduciary standards.

We help safeguard client data and firm infrastructure through:

• Cyber risk assessments and penetration testing
• Policy and procedure development
• Incident response planning and simulation exercises
• Regulatory cybersecurity readiness reviews

We support ESG integration through:

• ESG regulatory guidance and framework development
• Disclosure and reporting alignment with standards like the Sustainable Finance Disclosure Regulation (SFDR)
• ESG risk assessments and vendor oversight

We offer interactive eLearning courses and custom training sessions covering:

• Investment Adviser Representative (IAR) Continuing Education requirements
• Regulatory requirements (e.g., AML, ethics, cybersecurity)
• New rule implementations (e.g., SEC Marketing Rule)
• Best practices for firmwide compliance culture

We support wealth managers before, during, and after exams by helping them gather required documentation, respond to regulatory questions, and remediate any findings quickly and effectively. We help firms manage the entire exam process.

We combine deep regulatory expertise with powerful technology and personalized support to help wealth managers efficiently manage risk, stay compliant, and build trust with clients and regulators. Our team of expert consultants has decades of experience and includes former regulators, in-house CCO’s, attorneys, and other compliance professionals.

Yes. We offer flexible outsourcing solutions, from CCO support, ongoing compliance advisory, and dedicated consultants to supplement in-house resources, up to fully outsourced Chief Compliance Officer services.

Our experts actively monitor regulatory developments and provide timely updates, best practices, and practical tools to help clients stay compliant as rules evolve, from SEC and state updates to cybersecurity and ESG trends.

Absolutely. We help breakaway and startup advisers, and growing firms build scalable compliance frameworks, register with regulators, implement technology early, and set the foundation for long-term success.