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
Zachary FennoCompliance Manager; J.D., CSCP
Zach discovered compliance in law school, where he came to understand the concepts and constructs of rules and regulations. However, it wasn’t until he joined SCS in 2018, that he discovered compliance is really about coordinating with various departments to implement creative business solutions and practices that adhere to applicable regulations. Zach enjoys working with a myriad of clients who all operate uniquely allowing him to learn from the collective and apply those lessons to other clients, helping them solve their individual issues. Zach enjoys playing his cello, running outside when it isn’t freezing in Minnesota, and going to concerts.