Identify where your compliance structure breaks — before regulators do.
9 questions · 5 minutes · Instant results
Section 1 of 4Question 1 of 9
Is your compliance structure built to hold up under scrutiny?
Most RIAs don't realize their compliance program has structural gaps until they're under examination. This assessment identifies where your program is exposed — across governance, execution, exam readiness, and growth pressure.
9Questions
5Minutes
3Risk tiers
Section 1 — Structure
Who is primarily responsible for compliance at your firm?
Section 1 — Structure
If your CCO were unavailable for 30 days, what happens to compliance oversight?
Section 1 — Structure
Do you have redundancy in compliance oversight?
Section 2 — Execution
Are compliance reviews consistently documented?
Section 2 — Execution
How are compliance issues identified and escalated at your firm?
Section 3 — Exam Readiness
If the SEC examined your firm tomorrow, how confident would you be?
Section 3 — Exam Readiness
When was your last independent compliance review?
Section 4 — Growth Pressure
Has your firm grown significantly in the last two years?
Section 4 — Growth Pressure
Has your compliance structure evolved alongside that growth?
Your results are ready.
Enter your details below to see your compliance risk score and what it means for your firm.
Your score
Your information is used only to deliver your results and relevant follow-up. We do not sell or share your data.