May our experience be your guide

Expertise

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.

Certifications

  • CIPM – Certificate in Performance Measurement
  • CPA – Certified Public Accountant
  • CSCP – Certified Securities Compliance Professional
  • IACCP® – Investment Adviser Certified Compliance Professional

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Photo of Gretchen Sturdivan

Gretchen Sturdivan

Compliance Associate

Biography

Gretchen’s Story

My first introduction to the financial industry was in 2015, when I began working for RVK, Inc. in an administrative capacity. I wore many hats and sought to absorb as much information as I could about the industry. Within a year, I was providing multi-departmental support, including working with the compliance and business development departments. I most appreciated the ever-changing, dynamic world of compliance and am now soaking it up in my role as a Compliance Associate with SEC Compliance Solutions.

Biography

Gretchen has nearly 4 years of administrative, compliance, and business development experience. She has worked in the investment consulting and management industry since 2015, for SEC Compliance Solutions, LLC and previously, RVK, Inc., an investment consulting firm.

Her experience at RVK, Inc. included managing quarterly compliance reporting, writing and reviewing requests for proposals, providing executive-level support, expense reporting, training new employees, establishing a Community Outreach volunteer program, and participating in the planning and execution of firm events.

At SCS, Gretchen assists clients with their annual compliance reviews and mock SEC examinations by conducting forensic testing, reviewing for proper authorization and appropriate disclosures and practices in accordance with regulatory requirements as well as the policies and procedures the client has in place. She conducts reviews and testing on a wide array of firm operations, such as firm and personal trading practices, client contract and marketing material disclosures, and the appropriate application of client investment guidelines and restrictions for client reporting and billing.

Education & Honors

B.A. in German Language and Literature, Minor in Religion, from Pacific Lutheran University, Tacoma, WA.

  • Graduated Magna Cum Laude
  • Fulbright Scholar, Teaching Grant, Baden-Württemberg, Germany

Personal Information

In her spare time, Gretchen enjoys being outside in nature or in the kitchen with her husband and camera. She likes to coordinate volunteer experiences with friends and family, particularly with Friends of Trees and the Oregon Food Bank! She also has fun doing yoga, creating art, making music, reading, learning languages, traveling, photographing her cat, and partaking in all things vegan.