Our Process

When working with a new company, it is imperative to understand a firm’s business model, and a key process in understanding starts with asking questions.

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. 


Evaluation Presentation and 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.



Outsourcing engagements are monthly contracts. We will work with you to build the list of tasks to be executed by ComplianceWorks then provide cost certainty in the form of a monthly amount. 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. No need to write checks or provide credit card information and no taking time to invoices and payments. We provide an E-Check payment system that auto-generates a Sales Receipt 7 days prior to the E-Check debit.


ComplianceWorks Administrative Program

ComplianceWorks Administrative Program or “CAP” is a software to help organize your compliance program by customizing the compliance tasks your firm needs to maintain and translating them into calendar format with due dates, staff assignments, and frequency.  Additionally CAP promotes enhanced compliance reporting by all of your firm’s staff members by providing an easy to use, no login needed browser bookmark to report advertising for review, political contributions, gifts, complaints, personal brokerage accounts, and personal trading pre-clearance.

A Few Words from some of our Clients

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

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.