Ongoing Compliance

Your True Partner in Ongoing Compliance Assistance

NCS Regulatory Compliance offers RIAs more than 25 years of expertise from two of the nation’s oldest compliance firms, National Compliance Services and Regulatory Compliance. With the knowledge to understand the most complex regulatory requirements, and the practical experience to manage your daily and monthly compliance assistance activities, NCS Regulatory Compliance is your true partner for audit protection and much more.

Benefits as a Compliance Assistance Partner

As an RIA, your compliance fitness is paramount to the success and longevity of your firm. NCS Regulatory Compliance understands the intricacies of the regulations that affect your daily operations, and will offer peace of mind for all aspects of your operations. Partnering with NCS Regulatory Compliance allows you to:

Avoid the costs and time to build, and maintain, an in-house compliance department

Prepare for real audits with mock audits, so there are no surprises

Maintain seamless compliance in all your operations, so you can focus on your core competencies

Compliance Assistance Service Levels

Through careful reflection on the needs of our RIA clients, we have established three service levels that offer you the right-fit compliance solution. Within each service level, there is room for basic, advanced, and superior levels of customization. Let us provide you with compliance assistance as a Pro partner; extend the arm of your compliance activities with PartnerPlus, or build out your entire compliance department with PartnerElite. Whatever your need, NCS Regulatory Compliance provides a service model that’s right for you.


As a Pro-level client, NCS Regulatory Compliance provides the basic suite of compliance assistance, ensuring you are always current on new regulations and have ongoing access to industry experts who are well-versed in regulatory compliance best practices. This service level offers risk assessment, training, and expert review of sensitive materials.

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Plus-level service includes all the features of the Prolevel, with the added benefit of ongoing strategy and planning, a customized compliance calendar and monthly testing, and advertising and marketing review. Your unique needs are addressed with this model, which includes onsite consulting with our qualified compliance assistance experts.

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When compliance assistance just isn’t enough, PartnerElite is the solution for RIAs under advanced compliance scrutiny. If your firm requires specific policies and procedures that are built and implemented at the firm and investment advisor level, and demands advanced strategic review for future compliance, SWOT, resources, and growth plans, become an Elite partner.

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Free Consultations

Regulatory compliance is complex. Whether your firm is new to managing compliance requirements or you already have a strategy in place, NCS Regulatory Compliance can add value to your regulatory compliance plan. Let us prove it – request a free consultation, and we’ll show you how we can support your registration and compliance needs. Ready to jump in? Begin your registration here:

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