3rd party consultant for compliance review

Good afternoon. I was wondering if any of you have ever used/hired a third party to come in and look at your compliance area for weaknesses, best practices, etc. If so, would you recommend them and if you would mind giving me a name or contact# email address or website.

Thank you.

McDonald Partners LLC
1301 East 9th Street, Suite 3700
Cleveland, OH 44114

Direct 216-912-0558
Fax 216-912-1461


  • edited May 2017
    We use Compass Compliance. We would recommend them for exactly what you are talking about. They come onsite to do our review annually.


    Michelle Katauskas| CCO/ Dir. of Operations


    Fairpointe Capital LLC
    One North Franklin Street, Suite 3300
    Chicago, IL 60606
    Ph# 312-477-3307
    Fax# 312-477-3407

  • We use Compass Compliance as well. I would also recommend them to come in and review your compliance practices.


    From: Michelle Katauskas [mailto:MKatauskas@fairpointecapital.com]
    Sent: Tuesday, November 08, 2016 1:51 PM
    To: IA Week Listserv
    Subject: RE: 3rd party consultant for compliance review

  • I have had great success with Northpoint Compliance and recently used them for this same purpose. Glad to discuss if you like.


    Michael J. Meagher

    Managing Director & CCO

    EII Capital Management Inc.

    640 Fifth Ave, 8th floor

    New York, N.Y. 10019

    +1-212-735-9578 (office)

    +1-516-314-2510 (mobile)


  • Hi Audrey,

    I can recommend Mitch Avnet and Compliance Risk Concepts. Are you familiar with them? Happy to make an introduction. Let me know.

    Best wishes,


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    Jeff Detweiler | Executive Recruiter | JW MICHAELS & CO.
    335 Madison Avenue, Suite 800, New York NY 10017 Direct (646) 398-5667
    Mobile (646) 408-9952 | Main (212) 922-2844 ext 121 |Fax (212) 922-9366 |
    email jdetweiler@jwmichaels.com
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  • Audrey, if you are interested in an objective assessment that evaluates the
    entire risk exposure to the business internally and third parties as
    required by the SEC and not tied to existing vendors or host providers
    please contact me. My firm provides a holistic risk based assessment based
    on NIST Cybersecurity Framework and helps create a prioritization of risks
    by criticality.


    Pamela Gupta CISSP CISM CSSLP

    President & Founder | OutSecure Inc. | Shelton Pointe, Suite 401 2 Trap
    Falls Road Shelton CT 06484 | 1(203)816-8061 |
    www.outsecure.com Follow OutSecure on
    Twitter | www.linkedin/in/pamelagupta
    | Follow Pamela on Twitter

  • If you are still looking for assistance from an experienced compliance consultant let me throw my hat into the ring. Please take a look at our website and contact me if I can provide any further information.


    Charles Lerner
    Fiduciary Compliance Associates LLC
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