About ComplianceWorks

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.

Play Video

Cost Effective Compliance Solutions for Financial Firms

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 trying to grow their businesses soon discover that keeping abreast of compliance regulations and resulting obligations does not increase cash flow. Therefore, they fall dangerously by the wayside in this area.

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

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 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 we can bring the highest value and operational efficiency by assessing what to outsource versus what to maintain in-house. You receive an ongoing program that meets your budget.

hero

A Few Words from some of our Clients

Schedule your complimentary meeting and we'll be in touch soon!

Still wondering if ComplianceWorks is right for you?
Contact us to learn more.

To Our Valued Clients:

Due to the severity of what we are facing, ComplianceWorks has decided to take proactive action to honor our commitment to truly being a partner with our clients.  We understand that falling short on compliance obligations in reaction to this difficult environment would only further increase risk to our clients.  Thus, effective April 1, you will be given a temporary [10%-25%] reduction in the monthly ComplianceWorks’ fee without a reduction in service or tasks outsourced to ComplianceWorks.  This puts the cost of our services more in-line with the uncertainty of firm financial conditions and puts our firms in the same boat as we all work toward recovery.  We will re-evaluate the discount every 3 months to determine then continuance and the amount of reduction going forward. 

Please understand that the reduction in your fee is not permanent and that at some point in the future we will return to the normal contracted price for the services provided.

Contact us for more info:

Stay Updated