Our SEC compliance service consultants have 25 years of cumulative RIA compliance experience, managing issues, on both the adviser’s side and the consultant’s side. Jointly, our team has experience in:
- SEC compliance
- GIPS compliance and verification
- SAS 70 (now known as SOC 1) policy and procedure audits
It is through this hands-on experience that our consultants have developed the skills of truly listening to client’s pain points, addressing their issues and concerns proactively, and applying the SEC rules and regulations to each firm. We understand that there is not a “one size fits all” solution and take into consideration the unique circumstances of each of our clients to apply the rules as practically as possible.
- CIPM – Certificate in Performance Measurement
- CPA – Certified Public Accountant
- CSCP – Certified Securities Compliance Professional
- IACCP® – Investment Adviser Certified Compliance Professional
Find Out More About Our SEC Compliance Consultants
Liz is a CPA that began her career as a tax accountant and auditor. She quickly transitioned to the financial services space in 2002. She has been consulting with investment advisors on compliance since the Compliance Program Rule became effective in 2004. She founded SEC Compliance Solutions in October 2017 with the goal of creating a firm that cultivated an environment of finding practical, valuable solutions for investment advisors. Liz believes compliance does not have to be overly complicated or overwhelming and takes a pragmatic, educational approach with her clients. When not working, Liz can be found spending time with husband and three kids, playing piano, reading a good book, running, or riding her mountain bike.
Katie began her compliance career in 2008 working internally for an investment advisor to private funds. Since then, she has worked with investment advisors to high-net-worth individuals, wrap programs and separately managed accounts. At SCS, Katie loves cultivating meaningful relationships with her clients and considers herself an extension of their compliance team. It’s important to always keep your door open, which is why Katie always says, “there is no stupid question when it comes to compliance.” Katie enjoys spending time with her husband and two children, expanding her home gardens and traveling.
Zach discovered compliance in law school, where he came to understand the concepts and constructs of rules and regulations. However, it wasn’t until he joined SCS in 2018, that he discovered compliance is really about coordinating with various departments to implement creative business solutions and practices that adhere to applicable regulations. Zach enjoys working with a myriad of clients who all operate uniquely allowing him to learn from the collective and apply those lessons to other clients, helping them solve their individual issues. Zach enjoys playing his cello, running outside when it isn’t freezing in Minnesota, and going to concerts.
Gretchen began her compliance journey in 2015, working in the business development, administrative, and compliance departments of an institutional investment consulting firm. This led to a Compliance Associate role with SCS in 2018, where she assisted with forensic testing, SEC examinations, and administration. In 2021, Gretchen was promoted to Creative Director & Client Service Manager. In this role, she generates and edits Policies and Procedures for clients, manages the client onboarding process, and assists with marketing and implementation of the Firm’s vision. Gretchen enjoys getting to know her clients and writing articles about recent Risk Alerts and Regulations! She spends all the time she can with her husband, baby girl, and crazy cat; enjoying local hikes, planting with Friends of Trees, and advocating for the animals!
Betsy spent eight years in the financial services industry as an accountant and auditor and is a CPA (currently inactive). In 2013 she began working at an SEC Registered Investment Adviser, where she assisted with compliance and financial reporting. Betsy joined SCS in 2021 as a Compliance Associate and focuses primarily on forensic testing. Betsy enjoys spending time with her husband and three children, hiking with her dog and volunteering at her children’s schools.
Erica began her administrative assistant career in 2008 while working at a small family-owned costume manufacturing company. She started out as a design assistant and fabric cutter. Picking up all the hours and responsibilities she could as a then single mom, gave her the “can-do-get-it-done” attitude that she carries through at her role at SCS. Erica joined SCS in August 2019 as an Administrative Assistant. She loves helping streamline and organize and believes there is always a more effective and efficient way for things to be done! On the weekends Erica can be found adventuring or snuggling with her three kids. She never passes up the opportunity for a home DIY project or date night with her husband.