Interested in joining our team?
We are always on the lookout for passionate people that possess IQ and EQ to join our growing team.
Our U.S. regulatory and compliance offering is a true partnership with your in-house compliance function. From developing a compliance program tailored to your specific needs to maintaining it, we’ll act as an extension of your compliance team, allowing you to leverage our expertise while maintaining efficiencies for our clients.
Our team handles all U.S. regulatory registration requirements for the SEC, NFA/CFTC, and FINRA. As part of our ongoing regulatory compliance services, our clients have access to our employees whenever they need practical, business-friendly advice. IQ-EQ performs a myriad of ongoing consulting services including quarterly review and testing of the compliance program, policy drafting, employee training, marketing material review and regulatory examination support.
In addition, to ensure compliance with your Code of Ethics requirements, our clients have access to gVue, our proprietary software that automates and retains all Code of Ethics items and compliance policies.
Project-based engagements
- Investment adviser registration
- Exempt reporting adviser services
- CFTC registration and NFA membership
- Broker-dealer registration
- Compliance policies and procedures
- Mock examinations
- Regulatory examination support
- Compliance program reviews and Gap Analysis
Ongoing compliance support
- Ad hoc consultation and advice
- Implementation of compliance calendar
- Regulatory filings (Advisers Act, Exchange Act, Investment Company Act, CFTC/NFA)
- Annual compliance reviews
- Monthly and/or quarterly compliance testing
- Targeted forensic testing
- Employee compliance training and education
- Maintenance of policies and procedures
- Drafting of forms, templates and other practice management tools
- Electronic, expert network and buy-side communications surveillance
- Marketing and advertising reviews
- Code of ethics administration
We offer a comprehensive range of compliance consulting solutions for regulated firms, from help with initial regulatory applications and authorizations, KYC and AML services, through development of suitable policies and procedures, to quarterly reporting and ongoing advice, and regulatory examination support.
Our compliance consultants have extensive experience and will work with you to develop a long-term strategic partnership to power your success. The support we provide ranges from ad hoc requests to a seamless global package of fully outsourced managed compliance solutions, depending on your specific needs.
Our goal is to provide the regulatory compliance expertise and guidance you need so that you can focus on what matters most – growing your business and protecting your clients.
Kathy Malone
Head of Compliance and Regulatory Services, U.S.
United States
Send email +1 617 784 0486
Sean Wilke
Senior Managing Director, Head of Growth Strategy, U.S.
United States
Send email +1 646 453 4298Compliance consulting FAQs
What does compliance consulting involve?
Compliance consulting is a service that helps businesses ensure they are following relevant laws and regulations. This can involve reviewing and updating policies and procedures, conducting risk assessments, and providing training for employees. Compliance consultants also help businesses stay up to date on new regulations and potential risks.
What can a regulatory compliance consulting firm like IQ-EQ do for me?
At IQ-EQ, we offer an intelligent compliance consulting service that generates industry-rated compliance documentation. Our team of experts can help businesses navigate complex regulations and develop effective compliance strategies.