Compliance Consulting

A natural outgrowth of the consulting done in the financial services space, Bearing Agile has the expertise and experience to help you adapt to the ever changing regulatory landscape. Whether helping with a project like starting up a new adviser, broker-dealer, or fund, or revising policies and procedures we know it is important to be able to adapt with the business’ needs and with the fast paced regulatory environment. We understand that changes are constantly needed to accommodate new rules, in response to the changing needs of the firm, or in response to your technological and operational needs, we can assess your needs and help you achieve your goals. Even when - or especially - when you find you need to change quickly. Bearing Agile’s core agile business uniquely positions us to quickly find the balance between the regulatory requirements and then adapt your firm to help safeguard both your firm and your clients.

With experience gained working for some of the industry’s largest asset managers, separate account providers, insurance companies and FINTECH providers, we know that your success comes from Compliance and business working together. Compliance programs must work for the business and the business must work with Compliance. Compliance should help you grow and protect your business, all while navigating SEC and FINRA requirements.

Your Goals are our goals. Together we can:

  • Quickly and efficiently develop and implement new or updated polices and procedures.

  • Assess the needs of the business and review applicable regulations.

  • Change policies and procedures as needed when the business calls for it.

  • Assess your compliance program to see what changes would benefit your firm.

  • Optimize team structure and responsibilities to ensure proper regulatory oversight while still growing your business and servicing your clients.

We have expertise in:

  • Investment Advisers (State and Federally Registered)

  • Broker-Dealers

  • Private Funds

  • Registered Investment Companies

  • Managed Accounts (SMAs, UMAs, Model Marketplaces, etc.)

  • FINTECH

Services Include:

  • Mock Exams

  • Compliance Manual/WSP Reviews and Revisions

  • Initial Registration

  • Continuing Membership Application Drafting

  • Form ADV Drafting

  • 3120/3130 Testing

  • 206(4)-7 Reviews

  • Marketing Review

  • Exam Consulting

  • Custom Training Programs

  • Vendor Due Diligence

  • System Reviews