Compliance Services

Augment your team with specialized compliance expertise

Enhance your compliance program for greater efficiency, scalability, and growth.

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Industry expertise

Confluence Compliance Services team averages 25 years of industry experience

190+ clients supported

Including asset managers, wealth managers, private funds, broker-dealers, investment advisors, and legal firms

Compliance edge

Compliance Services clients are 22% more likely than the industry average to receive SEC “no action” letters

Make our experts your experts

Keep your business compliant and poised for growth.
Enhance your compliance framework and mitigate critical risks effectively.
Protect your business from evolving and increasingly sophisticated cyber threats.
Enhance efficiency and security with our Compliance Manager platform.

Seasoned regulatory experts

Advanced compliance management and powerful regulatory reporting tools

Simplify compliance and scale with expert support

Streamline your compliance operations with tailored outsourcing solutions that help reduce risk and enhance efficiency.

Proactive compliance for regulatory success

Prepare for regulatory exams – and maximize your firm’s compliance readiness – with tailored mock examinations and actionable insights.

Strengthen compliance with targeted reviews and risk insights

An independent evaluation of your firm’s policies, procedures, and controls can help assess alignment with regulations, such as the SEC’s Rule 206(4)-7, as well as evolving industry best practices.

Protect your firm from evolving threats

Take advantage of our comprehensive cybersecurity services, including policy development, testing, and monitoring.

Streamline compliance management

Centralize your compliance efforts with Ascendant Compliance Manager providing proactive risk management tools, regulatory reporting, and program organization for enhanced efficiency and security.

Testimonials

Confluence works with many different investment professionals and firms, and is knowledgeable of the latest rules, regulations, and technologies. At the highest level, they provide firms with solutions, adding value to various regulatory requirements and most importantly — peace of mind.
Chief Compliance Officer Sonora Investment Management
Confluence was able to answer all our questions, educate us on topics we weren’t aware of, and compose our compliance program from A-Z, as well as aid with the ongoing evolution of our compliance program. Their guidance has been invaluable as we entered the RIA space from many years in the broker-dealer world
Managing Principal and Founder The Lewis Financial Group
We’ve been with Confluence since our firm’s inception, and their support has been invaluable. They expertly handled our initial registration and built a customized compliance program tailored to our needs, continuously evolving it to align with our business. Confluence’s engagement, responsiveness, and expertise help ensure we confidently meet regulatory obligations. Their trusted guidance during our initial SEC examination was particularly helpful.
Founder SouthCol Advisors

Awards

RegTech Insight Awards USA 2024 Winner

Best Solution for Buy-Side Regulatory Compliance

This award recognizes Confluence’s industry-leading compliance expertise and best-in-class suite of regulatory compliance solutions.

Press release

Build, optimize, and manage your compliance program

Have a project in mind that’s not mentioned here? Such as:

Targeted reviews of digital and off-channel communications?
Marketing programs assessments?
Policy standardization for M&As?

Contact us to discuss your specific needs and timelines, or call us on +1 412 802 8647. We’re versatile and can help you evaluate your compliance needs.