SEC Compliance Solutions
SEC Compliance Solutions offers packaged support for new advisers, annual compliance reviews, and mock SEC examinations. Its scope includes registration, regulator communication, customized policies, adviser education, risk and monitoring schedules, filings, testing reports, optional forensic reviews, remediation, employee interview preparation, continuing remote consulting, and assistance during actual examinations.
Overview
SEC Compliance Solutions, or SCS, is an adviser-focused consultancy organized around three principal packages: new-firm setup, mock SEC examinations, and continuing annual-review support. It serves new and established RIAs as well as private-fund advisers.
The offering combines defined projects with recurring remote consultation, testing, filings, and remediation. SCS describes a hands-on relationship that supports the client’s CCO; the captured pages do not present the firm as taking the formal officer title.
Who it may suit
The setup package may suit an adviser registering for the first time or moving between federal, state, and exempt-reporting statuses. It includes regulator communication, education, and policies designed around the firm’s business model.
The annual package may fit an internal CCO who wants help planning, documenting, and overseeing the yearly review. A firm that has changed personnel, added a business line, completed a transaction, or lacks recent examination experience may consider the mock-exam service.
RIA compliance services
New-adviser work includes registration, communication with agencies, instruction on applicable rules, and customized policies and procedures. The mock examination assesses risk, compares written documents with actual operations, identifies possible weaknesses, prepares personnel for interviews, and includes a limited period of consulting for corrections.
Annual-review services include critical-document assessment, review planning and management, filings and amendments, a risk assessment and monitoring schedule, periodic meetings, written testing results, regulatory updates, continuing remote consultation, and optional independent forensic work. SCS also describes assistance with documents, written responses, and employee preparation during an actual SEC examination.
How the engagement works
Services are grouped into branded Core Compliance packages. Setup and mock-exam work are project-oriented; the annual-review package provides a recurring framework and continuing access to the SCS team.
The site uses the term unlimited consulting, but public copy does not define response times, communication channels, exclusions, staffing, meeting frequency beyond the stated check-ins, or work that triggers additional fees. Those terms should be explicit in the agreement.
What stands out
The mock-exam package includes post-review remediation time, connecting identification of a problem with implementation rather than ending at the report. The annual program similarly joins planning, filings, monitoring, testing documentation, and consultation.
SCS also gives new firms a path into continued annual support. That continuity may reduce handoff work, although a buyer should still compare the recurring package independently after registration is complete.
What to clarify before contacting
For setup, identify every registration, form, policy, disclosure, regulator contact, filing fee, timeline assumption, and revision. Confirm who approves and submits documents and what support continues after registration.
For annual or examination work, define the covered period, controls, populations, samples, records, interviews, findings, reports, remediation, and retesting. Clarify consultant availability, meeting cadence, actual-exam support, confidentiality, document security, travel, additional fees, package renewal, and transition assistance.