Compliance Consulting
Our Ongoing Compliance Consulting Services were built to provide your firm with flexible training and ongoing support by expert Compliance Consultants who will work closely with your firm’s CCO or other designated compliance contact to aid in the development, implementation, and maintenance of your firm’s compliance program. Through our ongoing consulting arrangements, our goal is to help you build an efficient and effective compliance program tailored to your firm’s unique needs both now and as your firm evolves. So whether you are just getting started in your first year running your firm or you have an established business with a team to support, our Consultants will help you build confidence in your compliance program and work to ensure that it meets the requirements and expectations of your primary jurisdiction whether it be with the States or the SEC.
While the nature and structure of these ongoing engagements vary based on the needs of the firm, most engagements include, at minimum, the following:
- Proactive consulting tailored to your firm with compliance program management support
- Development or refinement of written policy and procedures
- Streamline or build out compliance processes with best practices
- Setup and training on compliance task management
- Support of additional registration and notice filing
- Audit prep support and guidance
- Access to expert compliance consulting
- Proactive check-ins from your Consultant team
- Unlimited email support
For those seeking more hands-on support from their consultant, we offer additional support that can be priced into your ongoing compliance consulting subscription. This support can include any number of the following compliance functions based on the needs of your firm:
- New Employee Compliance Program Review and Training
- Trade Monitoring & Reviews
- Client Billing Accuracy Reviews
- Client Suitability Information Maintenance Reviews
- Periodic On-site Compliance Visits for Training and/or Audit Support
- Annual Holdings & Quarterly PST Report Gathering & Reviews
- Vendor Due Diligence Execution, Review, & Reporting
- Annual Compliance Meeting Prep & Execution
If you are interested in Compliance Consulting Services:
- Request Ongoing Consulting Services (formerly coaching services) in the XYPN Member Dashboard to book your initial call with us and request a personalized proposal. All billing will be done directly through XYPN.
- Want to upgrade or change your service level? Please email compliance@xyplanningnetwork.com to request that change.