C-suite executives play critical roles in the operations of broker-dealers and registered investment advisors. They must stay on top of regulatory issues and implement strategies to maximize outcomes for their companies and clients. Finding C-suite executives in-house is challenging for companies. Those who want to maximize profits while ensuring compliance can outsource C-suite consulting and legal services nationwide.
My RIA Lawyer provides C-suite services to businesses nationwide. Our C-suite services include Chief Legal Officer/General Counsel, Chief Operating Officer, Chief Financial Officer, and Chief Compliance Officer.
We designed these services to eliminate the leadership challenges that businesses face. Instead of hiring full-time executives and hoping they stay on top of regulations and compliance issues, you’ll have a legal team in your corner.
It’s much easier to stay within the law when you have attorneys, so contact our firm about our C-suite consulting and legal services today.
In addition, we provide a wealth of services to support our outsourced C-suite Services.
Compliance services ensure adherence to regulations and guidelines. Our team collaborates with c-suite executives, including chief executive officers and chief financial officers, to develop risk management strategies and navigate intricate regulatory landscapes. We offer tailored solutions to achieve and maintain compliance, allowing businesses to focus on their growth and operations.
Streamline RIA registration and BD registration with the guidance of our professionals. Our c-suite services include assistance from chief operating officers, chief technology officers, and other key executives. We offer comprehensive support, helping you to be detail-oriented, expedite registration processes, and address regulatory requirements, ensuring a smooth transition for your business.
Navigate complex mergers and acquisitions with confidence. Our team collaborates closely with C-level executives such as chief executive officers, chief financial officers, and senior executives to develop strategic approaches. With a focus on financial modeling, risk management, and competitive advantage, we facilitate seamless transactions and support your business objectives.
Prepare for regulatory examinations with our comprehensive mock examination services. We work closely with C-level executives, including chief operating officers and chief information officers, to simulate real-world scenarios. By focusing on technical skills, regulatory defense strategies, and compliance readiness, we help your company build confidence in its preparedness.
Elevate your private fund management with our specialized services. Collaborate with C-level executives, including chief financial officers and chief executive officers, to develop business strategies and drive growth. Our experience spans from cash flow management to operational efficiency, enabling you to make informed decisions and achieve optimal results.
Navigate regulatory challenges with our robust regulatory defense services. Our team collaborates with senior executives to develop effective strategies. With a keen focus on mitigating risks and leveraging competitive advantages, we provide comprehensive support to safeguard your company’s interests.
Resolve disputes efficiently through our arbitration services. Our team collaborates with C-level executives, including chief executive officers and chief legal officers, to develop strategies that align with your business objectives. With a focus on detail-oriented analysis and new initiative development, we assist you in achieving favorable outcomes while maintaining your company’s reputation.
Contact us today to find out how our C-suite services can help your company.
The Chief Legal Officer/General Counsel plays a vital role in RIA firms nationwide, especially hybrid firms or firms with affiliates registered with multiple regulatory agencies. RIA and BD firms should consult with the General Counsel before making decisions that could impact employees, clients, and the business. The wrong decision could trigger a lawsuit and other issues, including lost clients or state Department of Labor action on behalf of former employees.
My RIA Lawyer’s C-suite services will protect you during each step of the decision-making process. Whether you are contemplating terminating an employee, bringing on new partners, or reorganizing your corporate structure, we will provide legal guidance to clarify each decision.
The Chief Operating Officer provides strategic leadership and vision to coordinate and align divisions and processes. Without having an individual with the resources necessary to accomplish that alignment, many RIAs and BDs struggle to deliver services efficiently and profitably.
The good news is that through My RIA Lawyer’s Outsourced COO program, any size RIA or BD can reap the benefit of effective strategic guidance without needing to incur the expense of a full-time COO.
Small and mid-sized businesses can access the same level of operations expertise and resources that larger corporations find indispensable. My RIA Lawyer’s COOs work with the team to determine what actions the company needs to take to manage all aspects of operations effectively.
My RIA Lawyer offers three levels of services for CFO consulting services, as well as Ancillary Services, allowing you to pick a solution that fits your budget while meeting your needs. These levels of services (Basic, Upgrade, and Premium) are designed to help you make accurate financial decisions when operating your company. These services can help you reduce tax liabilities, improve pricing strategies, and more to maximize profitability. We can work in tandem with your company or your CPA firm when analyzing data and making decisions.
Maintaining regulatory compliance is one of the most challenging and critical aspects of operating your firm. In the early stages, you might be able to do this yourself. However, as your business grows, it becomes increasingly challenging to stay on top of changes and maintain compliance across the board.
My RIA Lawyer provides CCO outsourcing services for firms of all sizes. We will assess your business practices and provide solutions as needed. Our C-suite service providers will find issues before they escalate to violations. Then, we will address and fix the problems so your firm remains compliant.
This service is included in the Diamond Tier of our Compliance Package.
Ready to take your business to the next level? Our team is here to help you craft effective business strategies and implement risk management strategies that truly matter.
With insights from experienced chief financial officers and senior executives, we’re equipped to guide your journey toward success.
Whether you’re a key executive seeking competitive advantage or one of many business leaders driving innovation, our tailored solutions are designed to empower your growth.
Contact us today to find out how our C-suite services can help your company.
Not your daddy's law firm
We take a no-nonsense approach to solving your problems. Forget about one-size-fits-all solutions; we roll up our sleeves and craft strategies that fit your financial business like a glove. We’re not just lawyers – we’re compliance partners, financial enthusiasts, and problem solvers.
We get it – you need answers, and you need them now. That’s where we come in, offering a blend of big-firm resources with the kind of personal attention you’d expect from a smaller one.
But what really sets us apart? We’re all about your success. Compliance is just the start; we’re here to help you thrive. We know the ins and outs of the financial world, and we’re not afraid to think outside the box to help you reach your goals while playing by the rules.
Making the jump to start your own firm is a big decision. Its stressful, hard work, and you have to learn a ton. This why I decided to hire a professional team to help establish my RIA the right way the first time. My RIA Lawyer’s team is absolutely amazing. They have demonstrated expert knowledge, personable staff, and they have shown us how much they genuinely care about setting us up for success by giving us the tools we need to help others. Thank you Leila and Liz for all of your hard work!
The initial consultation was extremely valuable. I definitely recommend speaking with them. I had very custom needs, and they rose to the task!
I worked with Leila as I was getting my new RIA firm up and running. Leila provided expert legal advice as a complement to the national compliance firm who was assisting me with my registration. I was introduced to Leila after I had already begun the process and not sure how I would have made it through without her. She was an invaluable resource and I look forward to working together again in the future!
I have used My RIA Lawyer for filing my Annual Amendments in the past and was very happy with their services and professionalism. Leila Shaver is very responsive, communicative, and extremely knowledgeable. I highly recommend their services!
Leila is an expert with compliance but she also offers a wealth of knowledge as a business owner. We discussed everything including compliance, marketing, business partnerships, and more. Even though my firm is not yet at a point to work with her, she has sent me multiple emails offering assistance with the things we spoke about during our meeting.
The attorneys at MyRIALawyer are always extremely attentive, responsive and competent. We look forward to expanding our relationship, as we continue to grow.
and help them understand what it is they actually need to be asking for.
We are the answer to All Your Questions.
“In life, it’s not that we don’t have enough time; it’s that we lose so much of it. We waste time on things that can be outsourced instead of spending time on things and people we love. I’d rather pay someone to clean my house and take that time to spend with my children. Our clients are happier letting us ‘clean house’ while they work with their clients. In the end, they have more satisfaction in their businesses and they’re happier overall.”
— Leila Shaver Founder
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Director of Compliance