SERVICES

In our experience, there are certain 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 have been designed to address essential activities in these areas, and to enhance our client’s compliance programs.

 

We provide both ongoing support and project support. Firms typically engage Pillar for various services that are listed below. We are happy to discuss any support needs you are contemplating.

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

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