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    • Manage regulatory exposure and compliance costs with confidence

    AdvisorEngine's Compliance Consultancy Services can help with the burden of compliance

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    THE CHALLENGE
    Compliance can be cumbersome

    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.

    How it helps@2x

    Compliance Services can help your practice in 3 key areas

    We can help with required independent testing, risk assessments to manage the effectiveness of your compliance program and compliance training and upgrades.

    Independent Testing

    Perform annual reviews to keep everything in check

    • Compliance Program review
    • Communications review and surveillance
    • Review of policies, procedures, and compliance documents 
    • Marketing and advertising Reviews  
    • Review of personal securities trading by employees 
    • Review of Code of Ethics logs
    • Review of compliance emails to be sent by firm CCO or CEO
    Risk Assessments

    Manage the effectiveness of your compliance program

    • Alignment of business and compliance program
    • Review of current risk inventory/assessment (and if no risk inventory, development one)
    • Review of regulatory filings (including Form ADV, compliance manual, Code of Ethics and client contract(s) 
    • Provide assessment of compliance efforts and recommend changes to increase ROI, prepare the firm for client and regulatory review and minimize risks
    Training and Mentoring

    Access to compliance training and upgrades

    • Bank of hours for customized virtual consulting
    • Subscription to the compliance newsletter
    • Access to compliance webcasts 
    • Periodic email compliance alerts
    • Customized requests for compliance officer coaching and annual RIA training

    Perform annual reviews to keep everything in check

    • Compliance Program review
    • Communications review and surveillance
    • Review of policies, procedures, and compliance documents 
    • Marketing and advertising Reviews  
    • Review of personal securities trading by employees 
    • Review of Code of Ethics logs
    • Review of compliance emails to be sent by firm CCO or CEO

    Manage the effectiveness of your compliance program

    • Alignment of business and compliance program
    • Review of current risk inventory/assessment (and if no risk inventory, development one)
    • Review of regulatory filings (including Form ADV, compliance manual, Code of Ethics and client contract(s) 
    • Provide assessment of compliance efforts and recommend changes to increase ROI, prepare the firm for client and regulatory review and minimize risks

    Access to compliance training and upgrades

    • Bank of hours for customized virtual consulting
    • Subscription to the compliance newsletter
    • Access to compliance webcasts 
    • Periodic email compliance alerts
    • Customized requests for compliance officer coaching and annual RIA training
    The Specifics

    The Compliance Consulting Services team behind your team

    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 Haddock
    Beth Haddock
    Lead Compliance Strategist
    Beth has been dedicated to regulation and financial services as a litigator, a legislative aide on Capitol Hill and compliance officer at global and early-stage financial services and fintech companies including AXA Financial, Brown Brothers Harriman and Guggenheim Investments. She is also a distinguished author, speaker, trustee and Co-Chair of Web3 subcommittee for the New York City Bar Association (NYCBA) and member of the Regulatory Advisory Committee for the National Society of Compliance Professionals and the Compliance Committee for the NYCB.

     

    Let's work together

    Connect with our Compliance Consultant Services team to understand more about how we can help you.

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    As a technology company, AdvisorEngine® provides access to award-winning tools. AdvisorEngine does not provide broker-dealer, custodian, investment advice or related financial services. AdvisorEngine, Inc. is a subsidiary of FT FinTech Holdings LLC, which is a subsidiary of Franklin Resources, Inc., a global investment management organization operating as Franklin Templeton.