REGULATORY COMPLIANCE CONSULTING
Aspect Advisors is a consulting firm that provides customized compliance solutions.
Our clients are financial service innovators, including fintech companies, registered investment advisers (RIAs), broker-dealers, commodity, digital asset and private fund managers.
The firm is future-focused and our team connects deeply with our clients to help their companies grow and develop operational excellence within the regulatory boundaries.
ABOUT US
Aspect Advisors provides highly customized and detailed compliance consulting services for the financial industry. Our team of experts is dedicated to breaking down complex situations and helping our clients understand how the nuances of financial regulations apply to them.
Our back-office services are designed to relieve worry and stress, and to save you time and resources. We can help you with regulatory registrations and filings, compliance policies and procedures, conducting annual reviews, and other bespoke items. We can also provide outsourced Chief Compliance Officer and FinOP support. Best of all, our ongoing service offerings include unlimited Q & A with our expert team. Ask us anything, anytime!
Working with Aspect, you can focus on your area of expertise and grow with confidence. We will customize solutions for all your needs.
Leadership at aspect advisors
Justin Schleifer
Co-Founder & President
Jordan Jasser
Chief Financial Officer
Courtney Rosiek
Chief Operating Officer
Services and offerings
Aspect Advisors provides compliance consulting services for a variety of financial industry participants, particularly those involved with alternative assets. With our broad and deep experience, we focus on modern compliance issues facing innovative entrepreneurs.
CCO & Finop
We offer dedicated Chief Compliance Officer services to clients looking for more hands-on support and as their grow their firm.
CFO Services
In addition to our regulatory compliance consulting services Aspect now offers a broad range of finance and operations CFO consulting services for Private Equity, Venture Capital and Hedge Funds as well as other Financial Services firms.
COMPLIANCE PROGRAM
We design custom policies and procedures based on your business and support the implementation of those controls.
Regulatory filings
Aspect Advisors will maintain regulatory filings and apply for additional registrations, as appropriate, based on recurring filing requirements and changes in your business.
sec exam support
We provide on-going support, including interview presence, drafting of correspondence with regulators, and assistance with remediation of anticipated and received deficiencies.
scale your business
To effectively grow your business, we ensure that your target audience, preferred means of messaging, and marketing strategy are in line with the most recent regulatory rules, opinions, and expectations.
Bespoke projects
Do you have a project that doesn’t quite fit into any of the categories above? Aspect Advisors can support project-based needs to help clients get from one stage to another.