Compliance requires a sophisticated mix of skills, responsibilities, knowledge and personal skills not readily available in many firms, that strain resources and threaten their ability to maintain compliance.
NRS Premier Compliance Partnership services are delivered by NRS’ expert compliance professionals and;
Supplement your internal compliance teams with deep expertise that helps your firm keep pace with changing regulations, and frees up valuable, internal resources to focus on specific compliance concerns and core business activities.
- Flexible – outsource all or some of your compliance program components,
- Custom – offerings are individually designed to meet specific firm needs,
- Expert – highly skilled compliance professionals with extensive consulting engagement experience, and
- Continual – regular, offsite compliance testing and reporting in critical risk areas.
Put the renowned expertise of NRS compliance professionals in your corner with an NRS Premier Compliance Partnership. The program bundles several products and services that, in our decades of experience, have proven most advantageous to NRS clients including
- Risk Assessment & Gap Analysis
- Preparation of a Tailored Compliance Calendar & Testing Matrix
- Regular Offsite Compliance Testing and Results Reporting
- Form ADV Annual Updating & Other-Than-Annual Updating Amendments
- Dedicated Compliance Support
- Compliance Education
- Access to the NRS ComplianceGuardian™ Platform
- Annual Reviews
- Regulatory Examination Support Services
Typical Tasks include:
- Monthly Email Reviews
- Marketing Review
- Quarterly Trade Blotter Reviews and Best Execution Testing
- Semi-Annual Testing of Political Contributions
- State Notice Filing/Registration
- Investment Adviser Representative Licensure Verification