Establishing a compliance program is a challenge. You need processes and testing that both meet regulatory requirements and allow you to run your business efficiently. Walking that line successfully takes knowledge and experience.
Don’t go it alone.
At Hardin Compliance, our consultants have worked with retail advisers, hedge fund managers, mutual fund companies, private equity firms, and broker dealers. We are a full-service compliance consulting firm, offering expert regulatory compliance solutions and advice since 2006.
Take Advantage of our Compliance Navigator®
Our expert consulting team averages 20 years of experience in securities and compliance, and we use a time-proven method for setting up compliance programs that satisfy regulatory requirements and stand up to scrutiny by the SEC and FINRA.
We call our comprehensive set of tasks the Compliance Navigator®.
At Hardin Compliance, we use this template to customize a compliance program specifically tailored to your firm’s business model. You see, we know your business is unique, and we take the time to truly understand your business processes and operations. That way, you have the benefit of a proven methodology, while also gaining the peace-of-mind that our program is tailored to your firm’s business – everything you need and nothing you don’t.
We work with you to develop testing and documentation for your firm’s compliance tasks.
Our Compliance Navigator® includes a customized compliance testing calendar designed to track your firm’s monthly, quarterly, and annual compliance testing. We can even run your compliance program for you for less than you would have to pay to hire a full-time, experienced compliance professional.
We pride ourselves on being consistently at the forefront of new and changing rules and regulations affecting the financial services industry. This allows your specifically assigned consulting team to provide a level of service unique in the industry.
Compliance Made Easy
Adopting any compliance program is always a challenge.
That’s why we use a comprehensive technology platform to set up a customized compliance program for your firm. It makes it easy to capture the results of testing and monitoring.
Our program allows you to quickly produce easy-to-read reports for use with management and the SEC.
Interested in learning more? Call our main office at 833-942-2218 or visit our Contact Us page today.