RIA Compliance Box

  
Welcome to RIA Compliance
  

Tel: +1 646 480 0112
      Email:  info@riacompliancebox.com

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RIA Compliance Box was created in response to the growing demand for personalized, comprehensive compliance solutions for Registered Investment Advisers (RIAs). We have a singular focus on servicing and addressing the regulatory compliance needs of the RIA community by offering a suite of outsourced compliance solutions tailored to meet each client’s unique requirements.  

  
Our team of experienced compliance professionals is dedicated to providing our clients with highly personalized service, the highest quality work product, and creative and innovative solutions to meet and exceed their needs. Whether you have been in business for years, or are just starting out, our experienced team of professionals is here to assist you every step of the way.
  

  
We primarily serve clients in one of two ways: either our Outsourced Chief Compliance Officer (CCO) service or for those who require fewer resources, our Compliance Program Administration option. Our flat-fee pricing sets us apart from other consulting firms, as does the personal, hands-on relationships that we have with our clients, regardless of the level of service you choose
  

  
The Impact of Change
  

 Reducing the risk of fines or reputational damage and improving relationships with regulators and trust with key stakeholders
A comprehensive compliance program, enabled by technology, can drive revenue, and increase performance capabilities and organizational resilience.
Improving customer experience; completing 100 percent review on time; delivering 95 percent quality, improving efficiency 20-40 percent, reducing costs 40-60 percent

  
We help you find the right combination of levers across the compliance landscape to help you meet both expanding expectations and budgetary constraints by moving to an intelligent compliance operating model to assist you in:​​
  

  
Transforming Regulatory Compliance Into a Strategic Advantage
  
 Freeing resources to focus on achieving strategic objectives with the support of global, standardized, optimized, transparent, and compliant operations
Achieving Compliance
  
 Managing Risk
  Driving strategic growth
  
Review of trading processes
  
  
Registration and filings
  
  
AML screening
  
  
Maintenance of policies and procedures, including cybersecurity policies and procedures
  
  
Code of ethics/Personal trading
  
  
Risk assessment
  
  
Integration of regulatory changes
  
  
Regulatory filings
  
  
Logging recordkeeping
  
  
Annual Review
  
  
Documentation of compliance review
  
  
Testing of policies and procedures
  

Our Services

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