Outsourced Compliance Solutions
As a financial professional, navigating the various rules and regulations that apply to your business can be time-consuming and confusing. Let us help you build and manage a customized compliance program that is appropriate for your business model so that you can focus on serving your clients.
Adroit Compliance was founded in 2016 to fill a specific need. We recognized that financial professionals often don't have the need or the resources to support a full-time compliance professional. And yet, it's difficult to manage day-to-day client workload and stay abreast of compliance requirements. Even if a firm has in-house compliance staff, additional support is needed occasionally to assist with regulatory exams or special projects. That's where we can help.
Discover Our Expertise
Customized Compliance Services
A Solution Just for You
Whether you're just getting started with your advisory business, or your firm is well-established, or you're somewhere in between, we can provide the compliance services you need.
Do you need help with registration and creating a compliance program from the ground up? Or maybe you have a compliance program, but you're not sure what you might missing. Or maybe you're quite comfortable with your compliance program, but then that one unique situation occurs, and you need to bounce a question off of someone....
We're here to help. Take a look at some of the things we can do.
Meet Our Professionals
Rita has more than 20 years experience in regulatory compliance. She holds the Investment Adviser Certified Compliance Professional® (IACCP®) designation, and received a Bachelor of Science in Business Administration/Finance from University of Phoenix.
Bailey joined our team in 2019 as a part-time compliance analyst. She received her MBA in Finance and Management from DePaul University and a Bachelor of Arts in Political Science and English from Hunter College of the City University of New York.