Compliance Consulting Shop

All Your Compliance Needs, Handled

We manage your compliance work so you can focus on your business.
Welcome to Compliance Consulting Shop!

About Us

Compliance Consulting Shop is a boutique compliance consulting firm dedicated to helping financial firms meet their regulatory obligations with confidence. Our experienced team provides practical compliance guidance tailored to each firm's regulatory requirements and business operations.

We help clients identify and address compliance issues before they become regulatory concerns. Our services include registration and regulatory filings, compliance policies and procedures, Code of Ethics development and administration, personal trading reviews, risk assessments, annual compliance reviews, documentation of compliance reviews, testing of compliance policies and procedures, and ongoing updates regarding regulatory changes. We work closely with our clients to provide customized compliance support that reflects their specific needs.

Our leadership team brings senior-level regulatory experience and stays current with evolving regulatory requirements. By monitoring regulatory developments and industry best practices, we help clients maintain effective compliance programs and remain prepared for regulatory examinations and ongoing compliance obligations.

Services

Our proactive approach ensures we address the most critical compliance matters for our clients. Whether you need ongoing compliance support or assistance with specialized projects, our services are designed to deliver practical, reliable results.

Compliance Support Program

We provide comprehensive services including:

  • Preparation and submission of amendments to regulatory filings, such as SEC Form ADV

  • Evaluation and maintenance of compliance manuals, including Policies & Procedures, Code of Ethics, Privacy Policy, Business Continuity, and Disaster Recovery Plan

  • State-level “blue sky” notice filings for private fund managers

  • Efficient management of FINRA IARD administration, including relevant state notice filings and registration of investment representatives (e.g., Form U4s)

  • Ongoing compliance training for firm employees

Comprehensive Compliance Assessments

  • Conduct in-depth reviews of your firm’s compliance practices, identifying strengths and areas for improvement

  • Regulatory filings and reporting to ensure compliance with all necessary requirements

  • Customized compliance manuals: updating Policies & Procedures, Code of Ethics, Privacy Policy, Business Continuity, and Disaster Recovery Plan

  • Mock regulatory examinations to test preparedness

  • Employee training to keep staff informed on best practices

  • Customized compliance solutions aligned with each firm’s business model

  • Risk assessments to proactively identify potential compliance risks

  • Serve as liaison with regulatory authorities for communications or queries

Auditing & Review

  • Annual compliance program review and risk assessment

  • Mock regulatory exam administration with comprehensive findings

  • Review procedures including Anti-Money Laundering compliance, best execution, trade management, proxy voting, vendor due diligence, gifts and entertainment, and political contributions

  • Audit necessary Books & Records

  • Review marketing materials, newsletters, websites, and presentations for compliance with marketing rules

  • Monitoring of employee personal trading

  • Implementation of email archiving processes

Contact Us

If you have questions or want to schedule a consultation, reach out and we will respond promptly.