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Whenever you work with a new company, there are questions that come up about how you do business and what your procedures are. Here is what you can expect with ComplianceWorks:

Introductory Call or Meeting

During our first meeting we will listen to your needs and ask questions to gain a better understanding of your firm. If we mutually agree it is appropriate to move forward, we will further explain our process and schedule a time to complete an evaluation of your firm.

Firm Evaluation

Whether you need a one-time independent service or an ongoing compliance program, we will likely request additional information and/or previous documentation so we can ensure a solution that will fit your particular business needs. Depending on the situation, we may need to do an on-site internal inspection. If there is a fee associated with the evaluation, we will present an evaluation engagement contract before proceeding.

Evaluation Presentation and Preliminary Plan Meeting

We will share our evaluation results with you, discuss the associated risks, and explain the possible solutions. Together we will formulate a tailored plan that will meet your goals, simplify your compliance obligations, and reduce your potential liabilities.

Engagement and Implementation Schedule

The final details of your compliance plan, including fees, timelines, services, and reporting, will be presented in your engagement contract. Your endorsement of the contract will officially initiate our services.


Hourly contracts: we bill in quarter hour increments. Members of our team may bill at slightly different rates, and there are different rates for work performed onsite versus offsite. All of the terms will be made clear before work has begun so there are no surprises.

Monthly administrative contracts: We will work with you to build the list of tasks to be executed on a monthly basis and what the fixed cost of that contract will be. Work performed above and beyond what is agreed upon in the monthly contract is treated as hourly and will be billed at previously agreed upon billing rates.

You will receive an invoice at the beginning of the month for hourly work that was done in the previous month and the fees associated with monthly administrative contracts for the month ahead, where applicable. Payment terms are net 30.


If you’re ready to take the next step, let’s schedule an introductory call or meeting. We’ll talk about your business and you can see if you like our approach. E-mail or call us at (888) 541-9694 to set up a convenient time. Before we talk, you might want to read Our philosophy >>