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Robust In-house Compliance Solutions

Compliance for independent advisors can be full of uncertainty and challenges. Regulatory changes can be difficult to keep up with and time-consuming to implement. How do you choose whether to handle compliance in-house or outsource?


 

We provide the best of both worlds: our in-house, institutional-grade compliance team serves only Alliance Partner firms, so they get the benefit of a dedicated outsourced team.

 


 

As an Alliance Partner, our in-house team comprised of Chief Compliance Officer and dedicated regulatory professionals helps you proactively and efficiently manage your firm’s regulatory requirements. We understand the complexity of the frequently changing regulatory environment we operate in. From the day-to-day tasks like marketing and ad reviews, to larger programmatic compliance issues, your in-house Carson Institutional Alliance compliance team will ease the burden on your practice.

Benefits of our in-house compliance team:

  • Full-service team of experienced regulatory professionals handles high-level issues and day-to-day tasks
  • Outsource a full range of oversight tasks such as annual reviews and policy development
  • Incorporate our “culture of compliance” approach with your team
  • Confidence that your firm is up-to-speed on and compliant with changing regulations
  • Training and guidance on implementation of processes and procedures
  • Potential cost savings over handling compliance yourself
  • Free up time to spend on other business priorities to drive growth and profitability