Our team of seasoned compliance professionals bring a fresh perspective, tested technologies and an unsurpassed wealth of Chief Compliance Officer (CCO) experience to help clients anticipate and mitigate a range of regulatory, compliance and cyber-security risks.
With more than 275 years of cumulative financial services experience, we have completed over 100 exams as CCOs, and 500+ reviews and exams as regulators and advisors. From our offices in New York and Boston, we have been meeting our clients’ compliance needs since 2004.
Our diversified client base spans start-ups to mature businesses with more than $160 billion in assets under management across a spectrum of business segments:
Alaric Compliance is dedicated to providing our clients with expert compliance advice and services to help meet their SEC, FINRA, CFTC/NFA and DOL/ERISA regulatory requirements and mitigate compliance risks through:
Independent Compliance Consulting and Examinations
Alaric offers a breadth of consulting services to help clients manage and monitor their compliance programs. We offer customized services that are easy to integrate. Our Turnkey Solutions are tailored to meet clients’ specific needs, and are built on the solid foundation of our extensive compliance experience and established quality controlled processes.
Whether you are looking for guidance on industry best practices, interpretation of rules and regulations, industry training, or a hands-on practitioner, the Alaric approach affords clients the full confidence that only a tailored, tested and trusted compliance program can offer.
Outsourced Chief Compliance Officers (CCOs) and Principal Financial Officers (PFOs)
We provide qualified individuals to act as Chief Compliance Officers (CCO) for our clients on an outsourced basis. Many companies turn to Alaric for outsourced CCOs. The Alaric approach instills the confidence that only a proven compliance program can offer. Alaric can also provide a qualified individual to serve as the Principal Financial Officer (PFO) to help your firm comply with the certification requirements of Sarbanes Oxley.
Independent Compliance Oversight and Monitoring
We offer clients the assurance of a transparent compliance program that is sheltered from undue influence or incentive structures while being managed by experts. An Alaric CCO can intervene to help resolve problems before they become violations.
Alaric offers a client-centric service model with a range of Turnkey Solutions that are easy to integrate. Our Turnkey Solutions are tailored to meet clients’ specific needs, and are built on the solid foundation of our extensive compliance experience and established quality controlled processes.
Specialized Compliance Consulting
Alaric offers clients deep bench strength in SEC, FINRA, and CFTC/NFA compliance experience and training for registered and unregistered investment advisers, broker-dealers, banks, investment companies and other financial services organizations.
Third-party Due Diligence Reviews (FCPA)
Alaric offers non-financial firms a proven approach for third-party due diligence reviews, helping them comply with the Foreign Corrupt Practices Act (FCPA) prior to entering into transactions with third parties, merging with or buying another company.
Alaric has the reputation and expertise to serve as the compliance consultant in settled SEC administrative enforcement proceedings.