Compliance can be layered, complex, and overwhelming, which is why we’ve found that our clients don’t know what they don’t know. The benefit in hiring us, is that your SCS Team will always cover your compliance blind spots and ensure you know what you need to know! We’ve got you covered!

Let’s face it: It can be overwhelming to understand and apply SEC compliance requirements that are specific to your business and incorporate them into your RIA compliance program. Our compliance consultants have the knowledge and expertise to get you compliant quickly, streamline your efforts, save you time, and help you sleep at night - at a fraction of the price of hiring internally.

You will avoid mistakes that could lead to deficiencies, enforcement actions, lost clients, or a damaged reputation. Teaming up with the right compliance consultant is a great investment in your firm.

When you partner with SCS, we walk with you every step of the way and customize your service package to meet you where you are, ensuring your pain points are addressed.

We value our internal team-based approach and ensure that you will receive that same network of support in our services. We’ve got you covered and we’re here to be your CCO Companion!

We believe open and consistent communication is the most important aspect to a healthy and effective relationship. That is why all of our core compliance service packages include unlimited consulting.

We encourage you to call or email with questions and proactively address your compliance concerns whenever possible. Knowing that you will not get a bill every time you call, opens the door to a constant flow of honest communication with our consultants and allows us to be effective in supporting your RIA compliance needs.

We serve new investment advisers, established RIAs, and private fund advisers, both in the U.S. and internationally.

Our clients manage a variety of client types, including high net worth individuals, charitable organizations, institutional clients, pension and profit-sharing plans, retail investors, state or municipal government entities, mutual funds, private funds, insurance companies, and banking or thrift institutions. Our clients employ various strategies on both a discretionary and non-discretionary basis, such as U.S. Equity, Foreign Equity, Fixed Income, Private Equity, and Future Contracts.

While our clients offer different services, they all face similar challenges and find themselves in need of a second set of hands. Compliance professionals often feel siloed and unsupported. We are here to lift these clients up and offer our expertise to make their compliance programs seamless and less time-consuming.