Polaris Compliance Consulting, LLC

Polaris Compliance Consulting, LLC is a consulting firm specializing in compliance for Registered Investment Advisors (RIA). We provide expert compliance guidance for emerging and established businesses by consultants that have served as former regulators, consulted for the Big 4 accounting firms, as well as worked for the top investment firms on Wall Street. Satisfying compliance obligations is becoming increasingly difficult with new and existing rules and regulations, and finding in-house expertise can be costly and challenging. Whether you need a compliance assessment analysis conducted of an existing program, or have specific areas in need of process improvement, we offer solutions that meet your needs and find ways to make compliance fit seamlessly into your business model. Polaris Compliance Consulting, LLC provides RIAs with services that support compliance with the Securities and Exchange Commission (SEC) and State Securities Authorities