Our Services
Structured compliance consulting designed for firms seeking a long-term, collaborative advisory relationship.
How We Work
JAS Compliance Solutions provides ongoing compliance consulting through structured engagements designed for firms seeking a long-term, collaborative advisory relationship built on proactive guidance, responsiveness, and consistency.
Our principal offering is a structured, year-round Annual Compliance Program. In certain circumstances, we also accept project-based engagements with clearly defined scope and deliverables.
Our Services
Ongoing Annual Compliance Programs
Year-round compliance support designed to maintain a current, defensible program aligned with the firm's operations and regulatory obligations.
- Annual compliance program design and oversight
- Rule 206(4)-7 annual reviews and reporting
- Compliance calendars, testing, risk assessments, and ongoing monitoring
- Regulatory guidance and compliance alerts
- Advertising, marketing, and social media review
- Email and electronic communications supervision
- SEC examination readiness and support
- Form ADV, Compliance Manual, and Code of Ethics creation and maintenance
RIA Registration and Regulatory Filings
Hands-on registration and filing support for advisers establishing or modifying their regulatory footprint.
- SEC and state investment adviser registrations
- State-to-SEC transition support
- Form ADV and Form CRS drafting and amendments
- Compliance manuals and advisory agreements
- Regulatory filing support, including Form 13F, Form N-PX, and Form 13H
Mock Examinations and Risk Assessments
Targeted reviews designed to identify program gaps, strengthen documentation, and prepare the firm for regulatory examination.
- Mock SEC examinations
- Compliance risk assessments and gap analyses
- Books and records reviews
- Remediation guidance and corrective action support
Outsourced or Deputy Chief Compliance Officer Support
Embedded compliance leadership for firms requiring senior-level oversight without the cost of a full-time hire.
- Ongoing compliance oversight and program administration
- Regulatory filings and amendments
- Compliance training and personnel mentoring
- Examination preparation and ongoing support
Pricing & Value
The compliance consulting market generally includes technology platforms, boutique firms, and large national providers. Boutique firms typically offer the best balance of cost, customization, and examination defensibility.
Pricing is based on regulatory complexity, firm structure, staffing, financial affiliations, marketing and advertising practices, and overall risk profile.
Ready to Build a Sustainable Compliance Program?
Schedule a no-obligation consultation with our team. We'll review your current program, identify your key risk areas, and outline a customized compliance roadmap for your firm.