Your compliance program must encompass more than just a policies and procedures manual. Risk assessment, compliance testing and annual and periodic reviews must be built into your advisory firm’s compliance DNA. We will undertake the steps necessary to build a compliance program that is customized to your firm, satisfies your regulatory obligations and reflects industry best practices.

Our Compliance Program Development service includes:

  • Identification of supervisory personnel
  • Creating an inventory of compliance obligations
  • Determining covered personnel
  • Identifying conflicts of interest and areas of compliance risk
  • Establishing compliance policies for all required areas
  • Developing compliance procedures to implement policies
  • Creating a matrix that maps conflicts and compliance risks to policies and procedures
  • Designing a testing plan to determine the effectiveness of policies and procedures