What does the Outsourced Compliance Department Include?

First off, let’s discuss compliance consultants for a moment.

It’s no secret…

I think compliance consulting is… bullshit.

Why?

Because it doesn’t really help you.

In today’s complex and rapidly changing business landscape, compliance management has become a critical aspect of success. Traditional consulting often falls short of delivering the depth, quality, and responsiveness that established firms require.

The Limitations of Traditional Consulting

Compliance consulting often feels like a temporary fix or a bandaid.

Not a comprehensive solution.

With consultants, you normally get one person. One person that’s juggling… maybe 80 other clients.

Here’s a few reasons why traditional consulting services don’t cut it:

• They don’t have the time and attention to serve you properly.
• They lack up-to-date knowledge of specific industry regulations or niche areas.
• They can’t keep up with the evolving compliance needs of your growing firm.

This is why we’re excited to tell you about our outsourced compliance department.

These are NOT consulting services.

The Power of a Dedicated Compliance Team

With our outsourced compliance services, you get a whole team.

You get a compliance attorney. Someone with 20+ years of experience in the compliance industry.

That person is supported by a team of analysts who handle the day-to-day operations.

You get a compliance DEPARTMENT.

A team of people who know their stuff and actually listen to you.

Our compliance nerds strive to simulate an in-house compliance team.

• Your client services associate has a question about a new account application?
• Your executive wants to acquire a new book of business or has questions about their business?
• Your advisor wants to roll out a newsletter and wants guidance on what they can and cannot say?
• You just received a letter from the SEC and… SURPRISE you have an audit?
• Maybe you already have an audit initiated, and you need help responding?
• Or the FBI just arrested your owner? Yes, we’ve been there too…

This is what we do!
We’re here to help

With our services, you have unlimited, immediate access to YOUR compliance department.

We take over the entire function of compliance.

Your compliance attorney can serve as your CCO.

Our team becomes an extension of your firm. You receive the undivided attention and expertise necessary to navigate compliance.

The best part…. The SEC loves it!

My RIA Lawyer not only meets regulatory standards, we exceed them. Have confidence that your compliance practices are industry-leading and well-regarded by the group that can slap your business with fines.

Addressing ALL of your Compliance Concerns

So many of our clients have gone through SEC exams with our team as the outsourced compliance department.

And it’s been amazing… You know why?

The examiners don’t want to talk to you.

They want to talk to the professionals who know what they’re talking about when it comes to regulations. They want to talk to our outsourced compliance department!

We keep you out of trouble. We implement changes ON TIME.

• Recruiting new advisors? We’ll onboard them, train them, and run the background checks.
• Buying a new book of business? We’ll bring the advisor on and onboard all of your clients.
• Want to acquire another business? We’ll even draft all the legal documents.

You read that right… We also handle the legal services for you!

The Complete Compliance Department Solution

Most compliance consultants stop short when it comes to legal matters, leaving you to seek additional support elsewhere.

Our outsourced compliance department INCLUDES legal services.

From asset purchase agreements to new adviser contracts, we’re equipped to handle your legal matters, providing you with a solution for all your compliance AND legal needs.

We know some of you have contracts that are 10 years old.

Throw them in the trash. We’ll draft new ones.

Some of you don’t have contracts with your advisors. We’ll get those for you.

Some of you are growing by acquisition. You need asset purchase agreements. We got you.

This is the solution you need in your firm.

Elevate Your Compliance Game

You don’t have the time. You know you don’t want to do it yourself.

If you’re an established firm seeking to let go of your compliance management once and for all, work with our outsourced compliance department.

With a dedicated team, immediate access to support, and integrated legal services, you simply won’t have to worry about compliance issues.

Don’t settle for a temporary fix when you can have a modern compliance solution that sets you up for success.

Are you ready to drop the consulting bullshit once and for all?

This is the end of your compliance headaches.

Contact us to discuss how our outsourced compliance department can serve you better.