Compliance Services
Augment your team with specialized expertise for efficiency, scalability, and growth.
Our team of seasoned regulatory experts and advanced compliance management and regulatory reporting tools help you build, optimize, and manage your compliance program—tailored to your unique needs—to drive greater efficiency, scalability, and a strategic advantage.
Make our experts your experts through our end-to-end compliance services
Outsourcing, change management, and registrations
Annual compliance reviews, AML exams, and risk assessments
Mock regulatory exams, support, and remediation
Cybersecurity testing and compliance manager technology
Outsourcing, change management, and registrations
Simplify compliance and scale with expert support
Streamline your compliance operations with tailored outsourcing solutions that help reduce costs and enhance efficiency. From navigating complex registrations to managing regulatory or internal change, our experts deliver strategic guidance and scalable solutions to keep your business compliant and poised for growth.
Mock regulatory exams, support, and remediation
Proactive compliance for regulatory success
We can help prepare your firm for regulatory exams with tailored mock examinations and actionable insights to meet regulators’ expectations. If deficiencies arise, our team can provide strategic remediation plans and expert guidance to help mitigate risks and resolve findings efficiently.
Annual compliance reviews, AML exams, and risk assessments
Strengthen compliance with targeted reviews and risk insights
Through an independent evaluation of your firm’s policies, procedures, and controls, you can feel confident they align with regulations and industry best practices. Our experts will conduct the required annual compliance program reviews for investment advisers under Rule 206(4)-7 and for broker-dealers under Rule 3120, and prepare a detailed report documenting our robust process. We also perform AML audits to meet the requirements of Section 352 of the USA PATRIOT Act.
Risk assessments are special projects that can be tailored to focus on a particular topic or to broadly map the firm’s risk across all applicable regulations. Our comprehensive reviews and risk assessments provide actionable recommendations to enhance your compliance framework and mitigate critical risks effectively.
Cybersecurity testing and compliance manager technology
Protect your firm and streamline compliance management
We provide comprehensive cybersecurity services, including policy development, testing, and monitoring, to help safeguard your business from evolving threats. Our Compliance Manager platform centralizes your compliance efforts, offering proactive risk management tools and seamless program organization for enhanced efficiency and security.
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Meet our team
Kyrstin is a seasoned Executive Director in Investment Compliance, leading a team of experienced professionals dedicated to simplifying and enhancing the regulatory environment for a diverse client base, including investment advisers, broker-dealers, investment companies, and private funds. With over 20 years of expertise, she has developed a deep understanding of both local and global regulatory landscapes.
Kyrstin’s career includes more than a decade at UBS Financial Services, where she played a pivotal role in operations and compliance. She also served as the in-house Chief Compliance Officer for a hybrid registered investment advisor (RIA) with affiliated legal and accounting services, and has experience as a General Securities Supervisor and Registered Representative
An advocate for the industry and an avid volunteer, Kyrstin serves as Co-Chair of the National Society of Compliance Professionals’ Regulatory Advisory Committee. In this role, she collaborates with industry leaders to engage directly with regulators like FINRA and the SEC, while also guiding the NSCP Board in strengthening relationships that support the interests of compliance professionals.
Kyrstin brings her expertise to Confluence, where she leads strategic consulting efforts and generates the vision for the Compliance Services team. She holds an Investment Advisor Certified Compliance Professional (IACCP®) designation, which she earned in 2017, and combines her technical expertise with extensive leadership experience to navigate complex regulatory challenges.
Related resources
The Importance of an Annual Updating Amendment for Investment Advisors
Investment advisors have a crucial responsibility: maintaining transparency and compliance with regulatory standards.
Press Release: Confluence Awarded Best Solution for Buy-Side Regulatory Compliance by A-Team Group
The award recognizes Confluence’s industry-leading compliance expertise and best-in-class suite of regulatory compliance solutions.
68% of Financial Firms Say AI in Risk and Compliance is a Top Priority. Here are some best practices for thoughtful AI adoption.
A guide to risk mitigation and adoption of AI technology in financial services
Have a project in mind that’s not mentioned here?
Contact us to discuss your specific needs and timelines. We’re versatile and may be able to help you.