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 CopeCEO & Lead Compliance Consultant; CPA, CIPM, CSCP
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.