On Demand Support Package
($150 per hour)
For an hourly fee TLC partners with you remotely providing guidance and advice for your Chief Compliance Officers even if that is the face you see in the mirror.
Monthly Structure Package
($800 - $1,750 per month)
TLC offers monthly retainer support for your firm's CCO to ensure compliance with SEC or state regulations. Retainers range from $800 per month to $1,750 per month, depending on firm complexity and needs.​​
Tailored Service Package
(Free Quote Upon Request)
TLC offers a little extra help to your in house CCO with their responsibilities.
TLC’s On Demand Support Package Includes:
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Annual Risk Analysis Template
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Support during regulatory audits
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After your first hour you are billed in quarter hour increments.
As a Structured client, you can expect:
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Review and submission of firm filings
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Editable templates for compliance manual, code of ethics, business continuity plan, privacy policy, and compliance calendar
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Unlimited email and phone support
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Monthly remote meetings to address tasks or concerns
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Assistance with regulatory audits and response reviews
Service includes:
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Reviewing and submitting your firm’s regulatory filings
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Conducting internal audits for your firm to help identify opportunities for improvement
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Collaboration with your COO to manage document reviews, evidence of adherence to your firm’s polices, Code of Ethics and all applicable regulations
Project-Based
Compliance
Specialties
Not every compliance program requires an ongoing engagement. Three Lumos Consulting offers project-based compliance services designed to address specific regulatory or operational requirements as they arise. Whether you need assistance with a mock regulatory exam, an AML program audit, would like reviews of your marketing items, or have another targeted compliance project in mind, we provide customized support that fits your firm’s unique needs. The costs of these services are based on the firm's headcount and/or number of accounts serviced by the firm. Contact us today to craft a project-based package for your firm.