services / compliance program

compliance program

At the core of any successful business is a foundation of operational procedures and controls. Our team ensures that the processes we develop and implement with you are drafted to meet your business and operational goals within the regulatory framework you require.

Aspect Advisors’ consultants will customize and maintain manuals, matrices, and employee training materials based on your operational requirements. As you add new staff or business lines, we will ensure that your procedures adapt with your growth.

Some of the most common examples include:


+ Policies and Procedures Manual / Written Supervisory Procedures (WSPs)

+ Code of Ethics

+ Risk Inventory and Assessment

+ Privacy Policy

+ Business Continuity / Disaster Recovery Plan

+ Cybersecurity Plan and Assessment

+ Anti-money laundering and USA Patriot Act Policies and Procedures

+ Internal Operational/Financial Controls