Outsourced Compliance:
Our program
NexTier offers assistance in building a robust compliance program. We can act as your Chief Compliance Officer and/or compliance staff, providing risk assessments, managing your compliance calendar, making necessary filings, offering compliance training, and aiding with SEC registration. Our comprehensive program ensures your firm's compliance with all rules and regulations.
Outsourced compliance services
Chief Compliance Officer
Responsible for implementing your compliance program. Performs risk assessments and reviews. Leads responses to regulatory examinations.
Annual compliance training
As part of the program, we provide annual compliance training.
Compliance calendar
Maintain the compliance calendar and perform ongoing testing.
Reviews & Filings
We perform an annual review, marketing and advertising reviews, and file the Annual Form ADV.
Constant communication
We are your compliance staff. We meet with you weekly, have on-site visits, and provide best practice recommendations.
SEC Registration
Preparation and filing of ADV Part 1, ADV Part 2A and 2B, and Adviser's Compliance Policies and Procedures Manual I.
