Integrity First Consulting
Financial Services - , ,
Integrity First Consulting Employees
Integrity First Consulting Details
Integrity First Consulting is a full-service consulting firm providing compliance, operational, and technology consulting services for registered investment advisors. With over 15 years of industry experience, we can help you navigate the regulatory and back-office challenges in this rapidly changing industry.The following is a list of many (but not all) of the services we provide:Compliance Services:• Manage and formalize your annual review process• Compliance calendar creation and maintenance• Assist with regulatory filings and disclosure documents• Perform mock audits • Creation of tailored compliance manual (Written Supervisory Procedures)• Brochure and Brochure Supplement creation • Annual office inspections• Compliance trainings• Solicitor arrangements• Full CCO support• Code of Ethics creation• Assistance with social media, email, personal trading monitoring• Assistance with setting up new funds/investment vehiclesOperational and Technology Consulting Services:• Training and onboarding new staff• Transitioning new advisor accounts• Assess current personnel vs. future needs• Custodian recommendation and support• New office set up • Building new and modifying existing workflows across the firm• Current technology assessment and recommendationsTransition Support Services:• Custodian onboarding• Client paperwork preparation• Vendor selection support and recommendation
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