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About Us

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. 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.