COMPLIANCE SOLUTIONS

Comprehensive services to meet regulatory requirements
INDUSTRY LEADING SUPPORT

Affordable. Informed. Reliable

GET IN TOUCH

We take a strategic approach to compliance solutions with qualities you need to succeed.

We take full responsibility (and in the case of outsourced CCO, legal liability) for the portion or entirety of the compliance program assigned to us.    Our written quarterly updates summarize what tasks you have given us for the quarter, dates of completion and any side note on each task.  These written reports also serve to fulfill the regulatory requirement that a firm supervises what is outsourced.  

Our contracts are changeable at any time.  You can lower the level of service, expand our scope, or discontinue services at any time without penalty or fee.  As such, our compliance solutions are versatile, scalable and cost-effective.   If your firm grows to the point that it needs a full-time CCO, we will even help interview candidates and provide training on your business’s operations to smooth the transition.

All of our people understand where compliance fits within your business model, having been CCO’s.  We work with a firm to arrive at business friendly solutions while maintaining compliance with applicable regulations. Our objective is to set up an appropriate compliance system to mitigate regulatory risk, where any deficiency does not lead to an enforcement action, a monetary penalty or cause reputational damage.

We are in this for the relationship. In essence, we are a part-time employee in terms of cost but a full time, CCO-caliber, employee in terms of commitment. This is why our administrative contracts allow firms to call with questions, any time, without additional charge. Good communication is key to a good relationship and so we don’t charge clients for every phone call or email response.

WE ARE HERE TO HELP

CWI ‘s mission is to provide affordable outsourced compliance services to small and medium sized financial services firms in order to alleviate the opportunity cost paid by firms when they devote in-house resources to their compliance programs. In today’s highly regulated environment, firms need to be enabled to implement programs that manage regulatory changes and evolving risks.

CWI takes responsibility for all, or a portion, of firms’ compliance programs and even monitors areas not assigned to CWI. We identify where CWI can bring the highest value and operational efficiency by assessing what to outsource vs. what to maintain in-house. You receive an ongoing program that meets your budget.

Our team of compliance experts assists organizations in understanding regulations relevant to their businesses and keeping abreast of important changes. We stay up-to-date on regulatory events so you are empowered to make necessary changes quickly and effectively. No matter the size or scale of your business, we can establish and provide ongoing maintenance of a corporate compliance program and effectively manage risk. We alleviate the opportunity cost paid when in-house human resources are devoted away from value building tasks – raising assets and clients and working with the portfolios.

A STRONG COMPLIANCE PROGRAM ALIGNED TO YOUR BUSINESS
Outsourced solutions for versatile and scalable oversight
WHO WE ARE

ComplianceWorks was born in 2007 out of the need for small-to-medium sized investment advisers and broker-dealers to have access to professional compliance help without breaking the budget. Typically, principals of firms are busy trying to grow the business and discover that keeping abreast of compliance regulations and staying on top of their resulting obligations doesn’t increase cash flow and they fall dangerously by the wayside.

 

While many firms are all about technological and canned solutions, ComplianceWorks is hands-on. Our consultants roll up their sleeves to help complete compliance tasks rather than just telling you what needs to be done. Think of us as a full time employee at a part time cost.

 

All of our consultants have learned compliance in real-time business environments, on the job as CCOs and high-ranking compliance professionals, and understand where compliance fits in the bigger business picture.

WHO WE WORK WITH

Compliance Solutions for Financial Firms

ComplianceWorks offers innovative solutions for investment advisers, hedge funds, broker-dealers, and private equity firms. Learn more about how we help your firm.

GET IN TOUCH

Email

rfigueroa@cwicompliance.com

CWI location map

Physical Address

75 Malaga Cove Plaza, Suite 5
Palos Verdes Estates, CA 90274
(888) 541-9694

Support


(888) 541-9694