In an increasingly complex and high-risk industry, our passion is partnering with your compliance team to create leverage. We offer the necessary tools, experience and support to reduce regulatory risk by providing services which meet or exceed regulatory expectations - training your team to identify regulatory obligations and risks before they manifest as problems and implementing solutions which integrate with your existing investment, business and operational work flows.

Bringing decades of experience to the table, we work with fund managers on a broad range of regulatory compliance matters ranging from registration, mock examinations and annual reviews, to representation in regulatory examinations and investigations.

rethinking compliance

Compliance is too often viewed as a cost center; with results that either expose managers to excess risk or create inefficiencies from the failure to integrate compliance with investment and operational life cycles. Executed effectively, regulatory compliance and operational controls are a catalyst for growth and what we call “business alpha”.

altPILOT offers a holistic approach - partnering with clients to deliver customized solutions to fit your needs, expanding your business opportunities and realizing efficiencies from properly implemented compliance work flows.

how we help

• program design and implementation. customized, comprehensive compliance programs - solutions designed to integrate with and enhance your investment and operational work flows. Leverage our expertise and efficiently generate “business alpha”

• education and coaching. custom and programatic education seminars, chief compliance officer (CCO) coaching - all designed to reduce risks, align your team and develop your internal resources

• process support and testing. risk identification and mapping, gap analysis, mock examination, annual reviews and forensic testing programs - services and solutions designed to “smart outsource” critical compliance processes to efficiently manage risk and expand the capabilities of your compliance team

• examination and enforcement. support and guidance during high stakes examination and enforcement proceedings, including assistance in developing remediation strategies - services and solutions leveraging our experience and expertise to achieve the best possible results