Selling propels profit, compliance ensures its protection.
Reliable Compliance Consulting & Program Design
- Trusted
- Experienced
- Professional
Who we are
About Us
Backed by more than 35 years of experience, Compliance Sherpa is a Lyme, Connecticut, based compliance consulting firm for broker dealers, investment advisories, hedge funds, and alternative investment advisers. Our flexible team takes the time to learn your business so that we can create customized, effective compliance programs to meet your needs. As a small business, we ensure that each client receives personal attention from our staff, ensuring that all of your goals are met, and that your compliance program fits your business perfectly.
Effective Regulatory Compliance Programs
Failure to comply with regulations can cost you a great deal of money. Save yourself the time and headache by choosing Compliance Sherpa in Lyme, Connecticut to help you understand regulatory compliance, and to design customized compliance programs to meet your needs.
Our Programs
- Conducting SEC/FINRA Mock Audit
- Performing Operational Risk Due Diligence
- Developing & Improving Policies & Procedures, Code of Ethics Manual
- Creating or Testing Your BCP for Disaster Recovery
- Re-Examining Your Process Flows for Any Efficiency Opportunities
- Creating An Effective AML Program
- Structuring a Supervisory Process That Is Tailored to Your Firm's Culture
- Aligning Your Infrastructure to Suit Your Business Needs
- Ensuring Third-Party Providers Maintain Controls Consistent with Your Expectations & Mandates
Our Services
Failure to comply with regulations can cost you a great deal of money. Save yourself the time and headache by choosing Compliance Sherpa in Lyme, Connecticut to help you understand regulatory compliance, and to design customized compliance programs to meet your needs.
Effective Regulatory Compliance Programs
- Conducting SEC/FINRA Mock Audit
- Performing Operational Risk Due Diligence
- Developing & Improving Policies & Procedures, Code of Ethics Manual
- Creating or Testing Your BCP for Disaster Recovery
- Re-Examining Your Process Flows for Any Efficiency Opportunities
- Creating An Effective AML Program
- Structuring a Supervisory Process That Is Tailored to Your Firm's Culture
- Aligning Your Infrastructure to Suit Your Business Needs
- Ensuring Third-Party Providers Maintain Controls Consistent with Your Expectations & Mandates
Why Choose Us
Proven. Tailored. Trustworthy.
Tailored Compliance Solutions for Broker-Dealers, Investment Advisories, Hedge Funds, and Alternative Investment Advisers.
35+ Years Expertise
Decades of expertise ensuring compliance excellence.
Always On Time
Precise Timing, Every Commitment Kept.
24/7 Availability
Unwavering Availability, Around the Clock.
Testimonials
What Our Clients Say?