Overview
Welcome to ea Compliance Consulting, where we excel in providing specialized regulatory compliance and operational due diligence services to financial institutions and investment firms. With a proven track record, our practice boasts the successful creation of robust compliance programs for multi-strategy funds, accommodating diverse internal and external manager teams executing various strategies, including Equity Long/Short, ECM, Fixed Income and Macro, Quant, Commodities, and Options/Volatility.
Our expertise extends to conducting comprehensive assessments of external fund managers, evaluating their compliance programs and risk management practices. Additionally, we offer invaluable guidance and advice to newly formed managers, ensuring compliance with regulatory guidelines from the outset.
With a strong focus on proactive risk management and fostering a compliance-centric culture, our tailored solutions equip clients with the tools to navigate complex regulatory landscapes effectively. Reach out to us today for customized compliance strategies that will safeguard your organization's success and compliance excellence.
Consulting Services
Regulatory Compliance Consulting
Leverage my extensive expertise in SEC, FINRA, and CFTC regulations to provide comprehensive compliance consulting services tailored to your organization's specific needs.
Assist in developing and implementing robust compliance programs, policies, and procedures to ensure adherence to regulatory requirements.
Conduct compliance assessments and audits to identify gaps, recommend remediation strategies, and enhance overall compliance effectiveness.
Offer guidance and support in the registration process with the SEC, NFA and FINRA, providing assistance in completing the necessary forms, preparing the required documentation, and navigating the registration process successfully.
Offer guidance on regulatory reporting, including BD CRD filings, NFA filings, and RIA filings, to ensure accurate and timely submissions.
Provide ongoing regulatory updates and training sessions to keep your team informed and up-to-date with the latest regulatory developments.
Surveillance Program Development and Enhancement
Assist in building and/or enhancing surveillance programs to detect and monitor potential regulatory and compliance risks.
Evaluate existing surveillance systems and processes, providing recommendations for improvement and efficiency.
Develop customized surveillance programs tailored to your organization's unique business activities and regulatory requirements.
Implement surveillance tools and technologies to enhance monitoring capabilities and automate surveillance processes.
Provide ongoing support and guidance in the effective operation and maintenance of surveillance programs.
Compliance Program Development and Enhancement
Collaborate with your organization's leadership and compliance teams to build and enhance comprehensive compliance programs aligned with industry best practices.
Develop customized compliance policies, procedures, and control frameworks tailored to your organization's unique regulatory requirements and risk profile.
Provide guidance on establishing effective compliance governance structures, including the formation of compliance committees and reporting lines.
Conduct compliance training programs to educate employees on regulatory obligations, ethical conduct, and the importance of a strong compliance culture.
Regulatory Examination Support
Prepare your organization for regulatory examinations by conducting mock examinations, assessing readiness, and identifying potential areas of improvement.
Assist in developing and implementing robust examination response plans to ensure a smooth and successful examination process.
Compliance Culture and Training
Help foster a strong compliance culture within your organization by providing training and awareness programs tailored to your specific industry and regulatory landscape.
Develop customized compliance training materials and conduct engaging training sessions to educate employees on regulatory requirements, ethical conduct, and the importance of compliance.
Assist in developing and implementing compliance communication strategies to ensure consistent messaging and reinforcement of compliance expectations throughout the organization.
Operational Due Diligence
Conduct thorough operational due diligence assessments on third-party service providers to evaluate their capabilities, controls, and compliance practices.
Review and enhance operational processes, internal controls, and risk management frameworks to optimize efficiency and mitigate operational risks.
Assist in vendor management, including due diligence reviews and ongoing monitoring to ensure compliance and mitigate operational risks associated with third-party relationships.
Outsourced Chief Compliance Officer (CCO)
Provide outsourced CCO services to organizations in need of a knowledgeable and experienced compliance professional to fulfill the role of CCO.
Develop and implement compliance programs, policies, and procedures tailored to the organization's specific needs and regulatory requirements.
Build and/or enhance surveillance programs to detect and monitor potential regulatory and compliance risks
Answer questions and provide guidance based on SEC, CFTC, NFA and FINRA regulatory requirements
Provide leadership and guidance through regulatory exams
Assist in responding to regulatory inquiries and filing regulatory reports.
Conduct ongoing monitoring and testing to assess compliance effectiveness and identify areas for improvement.
Provide guidance and support in establishing compliance governance structures, compliance committee formation, and reporting lines.
Assist in developing and implementing compliance training programs to educate employees on regulatory requirements and foster a culture of compliance within the organization.
