Emily Higson holds a Series 28 and can be your FINRA regulated broker-dealer’s Financial and Operations Principal. This includes the preparation of financial statements, calculation of net capital requirement, FOCUS report filing, and audit support.
WRITTEN SUPERVISORY PROCEDURES
Whether you need procedures designed and written from scratch or updated as new regulations demand, Northwest Compliance can help. We craft bespoke procedures carefully for your firm’s unique needs. Procedures can be updated on a regular basis by Northwest or your own firm.
ANTI-MONEY LAUNDERING PROGRAM
FINRA requires annual or biannual independent testing of your firm’s anti-money laundering program. We can test your procedures, provide a written report of findings for your files and guide you through creating procedures and policies for your anti-money laundering program.
INDEPENDENT PARTY SERVICE
Some states require that investment advisers employ an independent party to verify disbursements from the fund. Northwest Compliance provides this service to state-regulated investment advisers. We work directly with your custodian and fund administrator so that your disbursement requests are processed quickly and efficiently. We also work with all parties to draft compliant disbursement procedures.
If you are starting a business in alternative investments please allow us to propose solutions for your unique needs. We have experience in starting companies and funds, and can help you navigate the regulatory, legal, and operational landscape– saving you time and money.
Do you need someone on call to attend to all of your compliance needs? Do you need support to prepare for FINRA, SEC, NFA or State examinations? Do you need to know that this part of your business is meticulously cared for? We specialize in compliance for broker dealers and investment advisors and can deliver high quality service at a fraction of the cost of employing a full time Compliance Officer.