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.

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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.


A Few Words from some of our Clients

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