Adviser Compliance Consulting

Metaverse hype may have dulled, but FINRA says it may put broker-dealers at risk (via InvestmentNews): https://lnkd.in/ec62y_cc #FINRA #financialcompliance #compliance #financialcompliancenews #InvestmentNews

That's a wrap! Thank you National Society of Compliance Professionals for another excellent conference. We enjoyed meeting everyone who stopped by our booth! See you next year! #AdviserComplianceConsulting #NSCP #complianceconference #compliance

Through ACC’s partnership with Aer Compliance, we provide our clients with a tech-forward compliance approach that works for everyone – from CCOs to GCs. We offer two innovative technology solutions: ➡️ Automated employee code of ethics suite: This technology does the manual work by automating your daily code of ethics compliance tasks. It has the ability to track thousands of accounts, including neobrokerages, international accounts and crypto exchanges and wallets, via an easy user interface. ➡️ AI-powered SEC marketing review tool: Performing marketing reviews can put a strain on your firm’s team, time and budget. Our marketing review technology acts as an extra member of your compliance team by doing the initial review for you. Learn more about our technology solutions here: https://lnkd.in/eBaWu_kY #AdviserComplianceConsulting #AerCompliance #financialcompliance #financialservices #compliance #complianceservices

Fantastic evening yesterday

Adviser Compliance Consulting is thrilled to welcome Zoey Armstrong to the team! Zoey is a senior compliance consultant and outsourced CCO at ACC. She is a seasoned compliance professional with 20+ years of experience in building, implementing and maintaining comprehensive compliance programs, particularly for private funds. Zoey has a proven track record of developing robust compliance frameworks that ensure adherence to evolving regulatory requirements. Her solutions-driven approach ensures that her programs are effective, minimally intrusive and aligned with the operational realities of the business, allowing organizations to focus on their core competencies while maintaining a strong culture of compliance. Learn more about Zoey and our entire dedicated and experienced team here: https://lnkd.in/g4AQGEsA #AdvisorComplianceConsulting #ACC #financialcompliance #compliance

ACC President & Founder Tito Pombra, Bridget Ward, compliance officer, GeoWealth, and Steve Farmer, CCO, Confluence Investment Management, spoke about annual review policies and procedures this morning at the National Society of Compliance Professionals' Annual Conference in Dallas. #ACC #NSCP #NSCPConference #compliance #complianceconference

We're here! So excited to be at NSCP's National Conference in Dallas! If you're attending, please stop by booth 33! #ACC #NSCP #NSCPConference #compliance #complianceconference

So excited to be at the Annual NSCP 2024. Please stop by if you are attending

The SEC's 2025 Examination Priorities: Key Focus Areas for Financial Compliance: https://lnkd.in/gqq9m7Zk #AdviserComplianceConsulting #SEC #2025exampriorities