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A proven approach to achieving compliance success

Our experienced professionals work with investment advisers and broker-dealers to help develop, implement, monitor, and enhance their compliance programs.

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Our clients

Hedge funds, private equity funds, and wealth managers ranging from emerging to mature and established firms

Our clients’ investment strategies include equities, fixed income, real estate, private equity, and numerous types of structures including fund of funds.

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our name

A pillar of strength

The pillar is a symbol of strength, stability, and reliability. Just as pillars support some of the world’s most enduring structures, we aim to be a steady, trusted partner for our clients.

services

There are pillars of successful compliance programs

Among them are knowledgeable and empowered compliance officers, well-designed policies and procedures, ongoing assessment of the program, and a strong culture of compliance. Our services are designed to address essential activities in these areas, and to enhance our clients’ compliance programs.

  • SEC

    Registration
    Policies and procedures
    Filings (Forms ADV, PF, D, 13F, 13H)
    Annual compliance review
    Gap analysis 
    Exam support
    Mock exam
    Ad hoc projects

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  • Broker-Dealer

    Registration and continuing membership applications
    Policies and procedures, and AML Manual
    Filings (Form BD, Form BR, Form U-4 and Form U-5)
    Annual independent AML audit
    FINRA Rule 3120/3130 Review
    Exam support
    Mock exam

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  • NFA

    Registration
    Policies and procedures
    Filings (CPO PQR, CTA PR, Annual Registration Update, Annual Questionnaire)
    Gap analysis
    Self-exam checklist reviews
    Branch office audits
    Exam support
    Mock exam
    Ad hoc projects

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  • Cybersecurity

    Review and development of Policies and Standards
    Risk Assessment
    Reporting for company leadership
    Incident Response Management
    Vendor and third-party security risk management

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  • Testing

    Email review
    Employee trading monitoring
    Political contribution monitoring
    Use of social media review
    Expense review
    Expert call chaperoning
    AML, sanctions and customer screening support

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  • Other

    Regulatory updates
    Compliance calendar
    Training for staff
    Vendor due diligence
    Support with compliance IT platforms
    Risk matrix
    Operational due diligence
    Secondment

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Team

Experienced, boutique, and collaborative

With a shared history of success as former colleagues at prior firms, our team provides frequent touch points, offering a boutique hands-on approach with our most senior and experienced members.

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David Lombardy

Founder and Principal

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Louis Sweeney

Managing Director

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Lance Friedler

Managing Director

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Brandon Dorenkott

Director

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John Holzwarth

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Director

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Michael Viteritto

Vice President

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Contact

Thank you for your interest in Pillar Compliance Group. We look forward to hearing from you.

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