Partner with NRS for compliance confidence. Our compliance professionals have worked in the private sector and for regulatory bodies. As part of NRS, they have provided outsourced compliance services to hundreds of firms like yours, keeping firms in compliance while minimizing compliance burdens on business processes.
Engaging NRS compliance professionals for Outsourced Partnerships helps ensure that your firm keeps pace with new and changing regulations. We become a partner in your firm’s compliance program. While the ultimate responsibility, by regulation, remains with the firm, an Outsourced Partnerships solution from NRS has the effect of adding anywhere from one to five experienced compliance professionals to a firm’s compliance staff, without the related staffing expenses or concerns.
NRS expert compliance professional services deliver:
- Experience – leverage our broad and deep experience to build a culture of compliance,
- Flexibility – outsource all or part of your compliance program, and
- The right fit – programs are designed to meet specific firm needs.
And can include:
- Monthly Email Reviews,
- Quarterly Internet Searches,
- Quarterly Trade Blotter Reviews and Best Execution Testing,
- Semi-Annual Testing of Political Contributions by Certain “Covered Associates”,
- Annual State Notice Filing/Registration Verification,
- Annual Investment Adviser Representative Licensure Verification,
- Form ADV Annual Updating and Other-Than-Annual Updating Amendments,
- Compliance Support as Needed,
- Compliance Education,
- Investment Adviser Annual Review, and
- Regulatory Examination Support Services.
Meet tough regulatory demands with NRS Outsourced Partnerships.
