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Compass Compliance Services, LLC Michelle Kennedy Michael Henry SEC Compliance Reviews
Compass Compliance Services, LLC Michelle Kennedy Michael Henry SEC Compliance Reviews
Compass Compliance Services, LLC Michelle Kennedy Michael Henry SEC Compliance Reviews

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 and operations officers 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. We focus on customized services and recommended processes and procedures that actually fit the way your firm works as opposed to "off the shelf" documents or procedures. 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 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

Mock SEC Exams

Regulatory Due Diligence Reports

Compliance with State Securities Agency Registration and Compliance Requirements



Compass Compliance Services does not provide legal, tax, accounting or financial services.