Integrity First Consulting Information

Integrity First Consulting is a full-service consulting firm providing compliance, operational, and technology consulting services for registered investment advisors. With over 15 years of industry experience, we can help you navigate the regulatory and back-office challenges in this rapidly changing industry. The following is a list of many (but not all) of the services we provide: Compliance Services: • Manage and formalize your annual review process • Compliance calendar creation and maintenance • Assist with regulatory filings and disclosure documents • Perform mock audits • Creation of tailored compliance manual (Written Supervisory Procedures) • Brochure and Brochure Supplement creation • Annual office inspections • Compliance trainings • Solicitor arrangements • Full CCO support • Code of Ethics creation • Assistance with social media, email, personal trading monitoring • Assistance with setting up new funds/investment vehicles Operational and Technology Consulting Services: • Training and onboarding new staff • Transitioning new advisor accounts • Assess current personnel vs. future needs • Custodian recommendation and support • New office set up • Building new and modifying existing workflows across the firm • Current technology assessment and recommendations Transition Support Services: • Custodian onboarding • Client paperwork preparation • Vendor selection support and recommendation