Gain compliance clarity.
With our decades of combined expertise, COMPLY consultants – formerly NRS Consultants – can help audit and assess your compliance program to help you achieve and maintain the highest standard of regulatory compliance.
Given the pace of regulatory change and the mission-critical nature of getting compliance right, it helps to tap outside experts with decades of experience navigating the regulatory landscape. Clients count on us for accurate risk assessment, guidance in addressing weaknesses, recommendations for corrective actions, and ongoing support as business needs and regulations change.
COMPLY compliance professionals have a wealth of expertise working in the private sector and for regulatory bodies:
Leverage COMPLY’s Compliance Review Services to test and evaluate every facet of your policies, procedures, and protocols – providing you with best-in-class insight to evolve your program.
“If we are examined by the SEC, we can easily prove that we conducted certifications and were collecting employee holdings and transaction information on a quarterly basis.” – CCO at a Hedge Fund
“Wearing two hats, I was very busy doing manual compliance tasks which were not the best use of my time and there were other things I could be doing that would be more beneficial to the firm. I knew the way we were doing things before was never going to scale going forward, considering our aspirations for growth.” – David Becker, CFIP
Integrated direct broker feeds from more than 300 brokerage firms and a robust data normalization process provide unrivaled information accuracy and dependability.
With automated workflows, in-depth reporting and secure APIs, you can rest assured we’ve got your compliance program covered, giving you more time to focus on what matters most — your clients and investors.
Offering a suite of robust solutions to meet your unique compliance needs, COMPLY provides the depth and breadth of compliance solutions to help you navigate complexity with ease.
Your focus is on your clients. Our focus is on your compliance. Deliver an alpha strategy anchored in comprehensive risk assurance, all while maintaining compliance with precision and ease. How? With COMPLY. Backed by the experts across the COMPLY portfolio, you can rest assured we have the details — from Form ADV disclosures to Form 13F and back again — covered.
Assess and test the rigor of your compliance program, addressing potential deficiencies before they become a compliance concern.
Gain compliance clarity. With our decades of combined expertise, COMPLY consultants can help audit and assess your compliance program to help you achieve and maintain the highest standard of regulatory compliance.
Gain compliance clarity. With our decades of combined expertise, COMPLY consultants can help audit and assess your compliance program to help you achieve and maintain the highest standard of regulatory compliance.
Is your compliance program ready to meet the demands of today’s regulatory landscape? Leverage COMPLY’s consulting services to assess, test and improve your compliance confidence.
Your regulatory compliance program backed by our industry-leading expertise. Let us help you navigate the complex regulatory landscape with our robust managed services offerings.
Expand your team with leading experts in the regulatory compliance space. Our compliance consultants are your go-to resource to achieve and maintain compliance with confidence.
Download COMPLY’s Annual Review Guide for an analysis of the annual review process, testing protocols, and documentation requirements.
