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
Erica HammericksenAdministrative Assistant
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.