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 MoganVICE PRESIDENT& Senior Compliance Consultant; IACCP®
Katie began her compliance career in 2008 working internally for an investment advisor to private funds. Since then, she has worked with investment advisors to high-net-worth individuals, wrap programs and separately managed accounts. At SCS, Katie loves cultivating meaningful relationships with her clients and considers herself an extension of their compliance team. It’s important to always keep your door open, which is why Katie always says, “there is no stupid question when it comes to compliance.” Katie enjoys spending time with her husband and two children, expanding her home gardens and traveling.