Home / Approach

How we work

Every engagement starts with a conversation about where the firm is and what it needs next. From there we agree a written scope, put a dated plan in front of you, and work alongside your team, your counsel and your providers until it is done.

Ways to work with us

Launch work is usually a project with a clear finish line. Operations and compliance work usually starts with a diagnostic, and firms that want a standing resource keep us on afterward.

Project

A defined piece of work with a start and an end, such as a fund launch, a new member application, a prime broker search or an administrator change.

Diagnostic

A fixed-scope review of an operation or a compliance program, ending with findings, a recommended fix and an estimate of what it would take.

Ongoing support

A standing relationship for operations and compliance as the firm grows, covering annual reviews, testing, filings support and the questions that come up between them.

Alongside your team

Your chief compliance officer, your counsel and your auditor stay yours. We work with them, make sure the operation matches what they document, and bring in a specialist early when a question needs one.

The firms around you

We work with prime brokers, clearing firms, fund administrators, auditors, technology vendors, fund counsel and compliance consultants every week. That is how we know which of them suit a particular firm, and what they are like to work with once onboarding is over.

Your systems, not ours

We start from the systems and providers the firm already has. A change gets recommended when it clearly pays for the disruption, and when it does, we help plan and run the move.

Background

Operations

We have run firm operations end to end, including settlement, clearing and counterparty relationships, commission and soft dollar administration, financial operations and vendor management, along with the automation that lets a small team keep pace with growth.

Compliance

We have built compliance programs and run them as chief operating officer and chief compliance officer, writing the procedures, running surveillance and AML, doing the annual testing and certification, and leading regulatory exams from first request to close.

Trading and markets

We have worked on the trading side as well, in institutional execution and the systems that connect a desk to its brokers, clearing firms and clients. We know what the front office needs from operations and compliance because we have sat on both sides of it.

Tell us where the firm is and what comes next

A short note on where the firm is and what it needs is enough to start. We reply within one business day.

Email [email protected]