Compliance Support

Run compliance in-house with the support to do it well.

Compliance support gives your in-house team the templates, filing support, and direct access to Key Bridge consultants it takes to run a strong program, with two service levels to match how much review and hands-on guidance your firm wants.

Run compliance in-house with the support to do it well.

Compliance support gives your in-house team the templates, filing support, and direct access to Key Bridge consultants it takes to run a strong program, with two service levels to match how much review and hands-on guidance your firm wants.

WHO IT’S FOR

Built for firms that keep compliance in-house.

Compliance Support is for firms that have a compliance officer on staff, or a leader who wants to stay close to the program, and don’t need an outside team running it for them. Your team stays in charge, and Key Bridge makes the job easier by handling your filings, keeping you current on regulatory changes, and answering questions whenever they come up.

Your team

Runs the program

  • Holds the CCO role and makes day-to-day compliance decisions
  • Prepares the Form ADV and firm brochure
  • Conducts compliance testing and the risk assessment
  • Completes the annual compliance review
  • Administers the Code of Ethics

Want Key Bridge to take these on? See Outsourced Compliance

Key Bridge

Backs up your team

  • Submits your Form ADV and firm brochure, U4/U5 filings, annual IARD renewal, and Form 13F as your regulatory filing agent
  • Provides compliance templates and a compliance calendar
  • Sends written regulatory updates as rules change
  • Answers your questions by phone and email
  • Meets with your team on a set schedule

At Foundations+, we also review your work and train your employees.

TWO SERVICE LEVELS

Choose how closely we review your work.

Foundations gives your team the resources, filing support, and expert access to run compliance on its own, and Foundations+ builds on it with Key Bridge reviewing your work, training your employees, and meeting with you more often.

Foundations

The resources and filing support to run compliance yourself

Resources

  • Compliance templates
  • A standard compliance calendar
  • Written regulatory updates

Regulatory filings

  • Key Bridge as your filing agent for Form ADV and firm brochure submissions, U4/U5 filings, annual IARD renewals, and Form 13F

Access to our team

  • Virtual onboarding and kick-off
  • Quarterly meetings
  • Consultation by phone and email whenever questions come up

Foundations+

Everything in Foundations, plus our review of your work

  • Everything in Foundations

The resources and filing support to run compliance yourself

Plus

  • Form ADV and firm brochure review
  • Advertising review (up to 10 hours per year)
  • A compliance calendar tailored to your firm
  • Employee compliance training
  • Bi-monthly meetings

Available add-on: exam preparation support, including a preparatory call and consultation on exam and deficiency letter responses..

NEED MORE THAN SUPPORT?

Let Key Bridge run the program for you.

Our fully outsourced compliance levels put a Director-led Key Bridge team in charge of administering your program, and at the Outsourced CCO level a Key Bridge professional is formally named as your Chief Compliance Officer.

Explore Full Program Management

What full program management adds:

  • Risk assessment with annual updates
  • Core and risk-based compliance testing
  • Code of Ethics administration
  • The annual compliance review and branch office reviews
  • Form ADV and firm brochure preparation
  • Examination stewardship, from data gathering to drafting your responses

FIND YOUR FIT

Get support based on how your firm operates.

Tell us how your compliance program runs today. Send us a message and we’ll walk through whether Foundations or Foundations+ is the right fit for your team. Standing up a new firm from scratch or want to completely outsource your compliance program? We can help with that too.

Get Started