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AdvisorEngine's Compliance Consultancy Services can help with the burden of compliance
Developing and maintaining a strong regulatory compliance baseline is critical to a firm's foundation, yet difficult to fully achieve due to lack of in-house expertise, time and cost.
Our specialists are experienced compliance officers who have managed regulatory inquiries and examinations as well as helped business executives successfully launch new products and secure new clients.
We can help you manage costs and regulatory exposure so you can feel focused and confident that your firm is on track.
We can help with required independent testing, risk assessments to manage the effectiveness of your compliance program and compliance training and upgrades.
Led by Beth Haddock, our lead Compliance Strategist, our specialists are experienced compliance officers who have managed regulatory inquiries and examinations as well as helped business executives successfully launch new products and secure new clients.
Beth has been dedicated to regulation and financial services for 20+ years: as a litigator, legislative aide on Capitol Hill and lead corporate attorney and compliance officer at global and early-stage financial services and fintech companies including AXA Financial, Brown Brothers Harriman and Guggenheim Investments. Beth is active in the legal and regulatory compliance field as an author, speaker, trustee and Chair of NSCP Fintech and Blockchain Forum.
Connect with our Compliance Consultant Services team to understand more about how we can help you.