Compliance Shop

Compliance Shop partners with your firm to design tailored compliance solutions aligned with your regulatory needs. Our approach can help reduce overhead costs while giving you access to experienced compliance professionals who understand the requirements of regulated financial firms.

Practical Solutions

Tailored compliance support for your business.

Experienced Professionals

Access to knowledgeable experts who understand your challenges.

Responsive & Reliable

Timely guidance and support when you need it most.

We support registered investment advisers with compliance from start to finish. This includes initial registration, ongoing regulatory filings, day-to-day compliance support, and preparation for SEC and state examinations.

What We Do

We help registered investment advisers navigate complex regulatory requirements with confidence—so you can focus on what matters most: your clients and your business.

We work with both new and established firms and provide practical support that aligns with how your business is structured and operates. Our goal is to help reduce compliance gaps, improve internal processes, and keep your firm aligned with regulatory expectations as they evolve.

Our services are designed to be responsive and flexible, whether you need ongoing support or help with specific compliance projects.

Our Services

We support key areas of investment adviser compliance, including:

  • Initial RIA registration and related regulatory setup

  • IARD filings and ongoing system administration

  • Annual compliance reviews and program testing

  • Compliance manuals and periodic updates

  • Regulatory filings and amendments

  • Risk assessments and gap analysis reviews

  • Mock SEC and state examination preparation

  • Email and electronic communications review

  • Employee personal trading and reporting oversight

  • Cybersecurity policies and procedures

  • Business continuity and disaster recovery planning

  • Compliance calendars and tracking systems

  • Client suitability and best interest reviews

  • Code of ethics development and administration

  • Privacy policies, notices, and disclosures

  • Offering documents review and updates

  • CCO support and training for compliance oversight

Contact Us

We’re Here to Help

Have a question, need guidance, or want to chat about how we can support your firm? Fill out the form below and one of our team members will get back to you quickly.

karen.hill@complianceshop.us