Conducting internal compliance audits to identify gaps and prepare for potential SEC, FINRA or other regulatory exams.

Develop and implement a plan of action to address deficiencies and violations raised in regulatory exams, while tracking progress across areas of non-compliance with applicable rules and regulations.

Alternatively, providing independent assurance that commitments to regulators have been fulfilled in response to exam findings.

Drafting, updating, and maintaining compliance manuals tailored to your firm’s business model and regulatory environment.

Delivering training on compliance topics, including insider trading, communications, and code of ethics.

Reviewing employee trades and outside activity conflicts of interest.

Preparing and filing Form ADV, Form CRS, and other required regulatory documents to ensure timely and accurate submissions.

Reviewing employee communications for potential compliance violations.

Ensuring that marketing materials, social media posts, and website content meet SEC guidelines, particularly under the new marketing rule.

Performing required annual compliance reviews to assess program effectiveness and implement improvements.

Evaluating and monitoring third-party service providers to ensure compliance with regulatory expectations and internal risk management policies.

Developing and monitoring cybersecurity programs in line with SEC requirements, including risk assessments and incident response plans.

Assisting with AML compliance programs for firms that handle custodial responsibilities or manage client funds.