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
Katie R. MoganSENIOR COMPLIANCE CONSULTANT; IACCP®
In January of 2008, I started working as a compliance associate for my first RIA, which had over $4b of AUM in private funds. I quickly saw how a strong compliance program and a partnership between compliance and senior management could guide a firm through a financial crisis. I worked with the board to create a strategic plan for the firm and assisted the firm in re-organization efforts resulting from the crisis. As the firm dissolved in 2011, I moved on to another RIA with over $5b of AUM in private funds as a Vice President, Compliance Officer. I lead the research and implementation process of AIFMD and Form PF. I saw the burden regulatory requirements place on advisers when a cookie-cutter solution does not fit the mold of a more “unique” adviser. What is the best execution for fixed income trades, and how do you document and test it for your annual review?
In 2013, my family and I relocated, and I found a home with an RIA to SMA, WRAP, and private clients. I partnered with operations to broaden my knowledge of back-office processes and reworked the existing compliance program to be practical and applicable to my firm’s business model. I inserted myself into the daily work lives of my employees, encouraging a culture of “always ask compliance.” My motto was, “there is no such thing as a stupid question.” My door was always open, and my goal of making SEC compliance a forethought instead of an afterthought was quickly achieved. When the day arrived that every compliance person dreads, the SEC exam, I was ready. As a firm, we made our way through the exam. I never thought I would be grateful for an SEC exam, but the experience was, to this day, one of the most valuable learning points of my career.
In 2016, I moved to the consulting side, taking a position with Focus 1, the predecessor to SEC Compliance Solutions. In the summer of 2017, Liz approached me about starting a new firm. My career goals are to be a key player and valuable partner in any business for which I work. I would be able to work with clients, develop and nurture new relationships, and play a key role in the new business. How could I say no?
Katie has over 10 years of RIA compliance experience working as a compliance officer and compliance manager for investment advisers and has played a key role in SEC examinations. At SCS, she is responsible for conducting forensic testing for annual compliance reviews and mock SEC examinations, including reviewing marketing materials, reviewing and updating ADVs Parts 1, 2A, and 2B, conducting trade testing, and consulting with clients.
Katie’s experience includes working for investment advisers to mutual funds; sub-advisers to wrap programs; and firms with long/short equity and fixed income hedge funds, consisting of master-feeder structures with government entities, charitable organizations, family offices, and institutional and high-net-worth clients.
Her responsibilities have included updating and filing ADVs; spearheading and enhancing compliance programs; reviewing and updating compliance manuals; annual review testing and reporting; and transitioning a compliance program to an automated, cloud-based system.
Katie collaborated with CEOs, portfolio managers, head traders, directors of marketing, and outside counsel to facilitate compliance regarding firm trading and best execution, review and approval of marketing materials, AIFMD preparations, forms and filings, agreements and other legal documents, as well as implementation of policies in response to new SEC rules and regulations.
Katie has first-hand experience on the adviser’s side of SEC examinations and investigations. She was an integral part of a routine SEC examination, where she responded to request lists, spoke directly with SEC staff, participated in interviews, and was fundamental to the post-examination process of initiating new policies and procedures as required by the exam. Additionally, Katie assisted with two SEC investigations for two different firms, assisting in document production and organization.
Education & Honors
BA in political science, minor in art history and French, Northeastern University, Boston, MA
- Graduated Cum Laude
Investment Adviser Certified Compliance Professional (IACCP®) certificate through National Regulatory Services (NRS).
When Katie is not chasing her two kids around, she can be found running, hiking, exploring new places or enjoying the places she loves with her husband and their family. Katie was born and raised outside of Boston and loves New England. She was born into a car-enthusiast family, growing up at the racetrack, and loves attending Formula 1 races with her husband. Making Strides Against Breast Cancer® and the American Cancer Society are causes close to Katie’s heart. She is the proud daughter of a U.S. Army Veteran.