
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.
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.
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.
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SEC
Registration
Policies and procedures
Filings (Forms ADV, PF, D, 13F, 13H)
Annual compliance review
Gap analysis
Exam support
Mock exam
Ad hoc projects -
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 -
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 -
Cybersecurity
Review and development of Policies and Standards
Risk Assessment
Reporting for company leadership
Incident Response Management
Vendor and third-party security risk management -
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 -
Other
Regulatory updates
Compliance calendar
Training for staff
Vendor due diligence
Support with compliance IT platforms
Risk matrix
Operational due diligence
Secondment
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.
Contact
Thank you for your interest in Pillar Compliance Group. We look forward to hearing from you.