Compliance Outsourcing

Hands-on compliance support.

The RIA Compliance Outsourcing program is our most extensive program that involves our experienced professionals. Meet compliance veteran, Kevin Maas.

Pohl Consulting and Training’s staff of experienced consultants has the unique ability to provide proactive, hands-on compliance outsourcing customized to the unique needs of your organization.   The compliance outsourcing program is our most extensive program that involves our experienced  professionals leading the compliance function of your organization.  In this program we take on most or all of the normal work of a compliance officer and provide hands-on compliance guidance and leadership to your organization.  Our team’s level of experience and industry connections means that your organization will benefit from having up-to-date industry knowledge on best practices and trends.

The regulatory environment continues to become more complex and more aggressive. The ongoing implementation of Dodd-Frank required regulations, the focused attention on all actions related to anti-money laundering, and the increasing scope of the Consumer Financial Protection Bureau oversight are all elements of the evolution of financial services regulation.  The shifting of the regulatory landscape toward more of a law enforcement approach rather than the traditional “supervision and support” approach means that your organization must constantly adapt to stay current. This is difficult for any organization, but those with smaller staffs will be especially affected.

At the same time that regulatory pressure is becoming greater and more complex, two other business realities also exist.  First, financial pressure on most financial services organizations is near an all-time high and second, even if the organization has the ability to add compliance staff, the availability of quality, experienced compliance professionals is limited.

Our compliance outsourcing program is a valuable means to obtain quality, experienced, legal and compliance veterans to support or lead your compliance program for a fraction of the cost of one full-time junior compliance staff member.