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
Elizabeth L. CopeMANAGING MEMBER; CPA, CIPM, CSCP
I was first introduced to the financial industry a couple of years out of college while working at an internationally recognized specialty CPA firm, completing GIPS verifications. Having my CPA license lead me into completing and managing all the firm’s SAS 70 (now SOC I) audits. Completing the SAS 70 audits is where I really started to understand the operations of investment advisers and how the rules and regulations were actually applied. In 2005, the firm decided to offer SEC compliance consulting services, as a direct result of the new Compliance Program Rule (establish written policies and procedures, review them annually, and assign a Chief Compliance Officer to oversee and administer). As a young professional, I saw an opportunity to excel and volunteered to develop this service unit. For two weeks, I locked myself up in a conference room reading the “Blue Book” (authors Lemke and Lins) from front to back and developed the first edition of the Compliance Organizer that we use today to administer the annual review. I then streamlined the process across the firm’s clients. From there it was just getting my hands dirty, experience after experience, listening to clients’ pain points and working through each issue one at a time. In 2010, a group of us spun out of this accounting firm, bringing the consulting business with us, and for seven years, I continued refining my skills and our services under Focus 1 Associates LLC (Focus 1). In October 1, 2017, I took what I see as my last career step and spun out of Focus 1 with my team Katie Mogan and Christene Sismondo to develop SEC Compliance Solutions. The goal is to further refine our service offering. I am a believer that my clients always come first. I take great pride and joy in helping them navigate the complicated waters of compliance and develop a system that is doable and practical.
Elizabeth has over 15 years of experience working with investment advisers of all sizes, across all asset classes, within the United States and parts of Asia and Europe. She currently assists investment advisory firms and their CCOs with policies and procedures development, regulatory filings, annual review planning and oversight, forensic testing, marketing material reviews, and mock SEC examinations.
Prior to July 2010, Elizabeth worked for an internationally recognized GIPS compliance and verification specialist firm collectively managing hundreds of GIPS verifications, SAS 70 audits, surprise custody examinations, hedge fund audits, mock SEC exams and compliance consulting engagements on a global basis. It is through this experience that she gained an in-depth understanding of the investment industry and strengthened her skills as a consultant. It is her goal to provide each client with practical compliance solutions that allow them to enforce a strong culture of compliance and in turn, focus on what they do best… manage money and service their clients.
Education & Honors
B.S. in Business Administration, emphasis in Accounting, from Southern Oregon University, Ashland, OR
- Vice President of the Accounting Students Association
- Outstanding Accounting Student of the Year Award
B.S. in Computer Information Systems, Southern Oregon University, Ashland, OR
Certified Public Accountant (CPA)
Certificate in Investment Performance Measurement (CIPM)
Certified Securities Compliance Professional® (CSCP)
National Society of Compliance Professionals
Oregon Society of CPAs
When Elizabeth isn’t solving a compliance problem, she can be found spending time with her husband and three kids, running, snowboarding, or basically anything that involves activity. Elizabeth formed the Ethan Jostad Foundation, a non-profit organization benefiting childhood cancer, in honor of her nephew who passed from cancer at the age of nine. She currently serves on the Board and as Treasurer. She also formed Southern Oregon Baseball, a non-profit organization established for a competitive youth travel baseball team.