A robust and focused regulatory compliance team which provides direct compliance interaction and support through experienced and knowledgeable consultants who have served as "hands on" chief compliance officers, operations officers and in house counsel with registered investment advisory firms. We integrate our services in a seamless fashion through relationship based support tailored to your specific business model and internal processes. Our focus is not “off the shelf” documents or procedures but rather customized services and recommended processes and procedures that actually fit the way your firm works – not too little and not too much. Nor do we function in a bureaucratic fashion. Your firm will have our direct and complete support and access to us at all times during our engagement. In addition, through our years of experience and practice in this industry we have established and maintain complementary relationships with other key service providers in areas such as custody audits, performance verification, back office support, cybersecurity, general audit and other areas of support which are available to our clients as needed.


FOCUS AREAS

Comprehensive Support Platform for Regulatory Compliance with the Investment Advisers Act of 1940

Regulatory Compliance Reviews

Internal Risk Assessments

Regulatory Due Diligence Reports

Compliance with State Securities Agency Registration and Compliance Requirements


© Compass Compliance Services, LLCPost Office Box 8694Greenville, South Carolina 29604(864) 271-8708