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 Adroit 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.
How Does Adroit Work?
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. Adroit's services are customized to your needs. Learn more about how you can work with Adroit.
How Can Adroit Help?
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, Adroit 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....
That's where Adroit can help. Take a look at the list of services to see where you may need help.
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How do you customize your services for my business model?
Adroit starts by reviewing your registration and disclosure documents to gain an understanding of your existing business. Then, let's have conversations about your business philosophy, client base, and investment strategies. Together, we can determine your compliance needs and develop a road map of how to best meet those needs.
I want to start an advisory business. Where do I begin?
Adroit can help you create your compliance program from the ground up, starting with the preparation of your registration documents, and creation of comprehensive written policies and procedures. Adroit can walk you through the registration process with state or SEC regulators, and coach you on how to manage your compliance program.
Will you be my outsourced CCO?
It depends. Being an outsourced CCO is a unique relationship. Regulators do not look favorably on situations where someone is acting as CCO in name only, without being knowledgeable of the firm's business operations. You need to maintain a high level of communications with your outsourced CCO on a regular basis, and commit to keeping the CCO informed on business operations. This arrangement obviously requires considerable dedication from both parties. If you are interested in this arrangement, we'll need to have some in-depth conversations on how to make the relationship work.
That being said, you may find that with the support of Adroit, you have more confidence in acting as CCO without having to outsource those duties.
I have compliance policies already, but how do I know if they're right?
Adroit can examine your existing policies and procedures to determine if there are any gaps or deficiencies that need to be addressed, as well as looking at your registration documents and disclosure documents to make sure that the language is consistent with your client agreements, your written policies, and your actual business practices.
What is your fee structure?
Adroit typically charges an hourly fee for services, billed monthly in arrears. You'll receive a detailed invoice showing the dates, descriptions, and time spent on your projects. Normally, Adroit doesn't require a monthly retainer, as we recognize that your needs will fluctuate month to month. Routine services such as deadline reminders and newsletter updates are free of charge.
How do I know that Adroit Compliance is the right consultant for me?
Everyone wants a good fit. The best way to find out is to schedule a free introductory call to discuss how we might work together. Click here to schedule time to chat, or use the Contact form below. Don't worry, you won't be stuck talking to a pushy salesperson. We'll just talk about what you need, and whether we can provide services to meet your needs. No obligation!