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
Gretchen SturdivanCreative Director & Client Service Manager
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!