WEST CHESTER, PA — STP Investment Services (STP) has announced the expansion of its ComplianceAdvisor offering, introducing a structured, tiered approach designed to help firms manage their compliance needs at every stage of growth. This innovative solution addresses the increasingly complex regulatory environment faced by wealth managers, private fund advisers, and exempt reporting advisers.
The ComplianceAdvisor offering includes three distinct programs—Pro, Plus, and Prime—each tailored to provide varying levels of compliance support. Firms can select the program that best fits their needs, with the flexibility to scale services as their regulatory requirements evolve.
The Pro program focuses on foundational compliance, offering essential services such as regulatory filings, compliance manuals, risk assessments, and compliance calendars. The Plus program provides strategic compliance support, adding monthly advisory check-ins, regulatory exam assistance, and unlimited consulting. At the most comprehensive level, the Prime program delivers a total compliance solution, including outsourced compliance functions like personal trade and electronic communications reviews, with the option to outsource the Chief Compliance Officer role.
To enhance efficiency, STP’s ComplianceAdvisor integrates seamlessly with existing firm infrastructures and incorporates Hadrius regulatory technology. This platform provides tools for compliance calendar oversight, risk assessments, and supplemental modules like personal trade reviews and electronic communications monitoring.
“There is great uncertainty in today’s regulatory landscape. As regulatory expectations change, firms need a compliance partner that can adapt to how these changes affect their business,” said Lori Weston, Head of Compliance at STP Investment Services. “In expanding the breadth and depth of our ComplianceAdvisor offering, STP is providing a structured yet scalable solution that allows firms to engage with the level of support they need today while maintaining the ability to scale their compliance functions as their business and regulatory requirements demand.”
This expansion further spotlights STP’s efforts to deliver innovative, flexible compliance solutions that empower firms to keep pace with an evolving regulatory environment while remaining focused on their core business operations.
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