In need of compliance expertise, but do not need a full time CCO on the payroll?   RIMC’s full service compliance offering may be your solution to fill this gap.  Talk with us to learn how other advisers have successfully used RIMC as their primary and ongoing compliance solution, including:

• Compliance program maintenance and testing

• Continuous advice

• Governance facilitation

• Employee education

• Marketing materials review

• Cybersecurity program management

• Disaster recovery program management

• Other project management

• General business advice

While we will not serve as your CCO, we essentially function as a part of the firm’s compliance department.

Every firm needs a governance structure.  RIMC will work with you to implement a meaningful governance structure, and will facilitate your ongoing governance initiatives (including drafting meeting minutes).

RIMC has a structured mentoring process – we can help your CCO in training become the CCO you need.

Mutual funds are required to oversee select service providers; RIMC can provide this ongoing service on behalf of the fund’s CCO.

Have a scope in mind?  RIMC will likely have the expertise (or, will be able to pull together the right resources) to meet your need.

Not sure where to start on cybersecurity?  Think your process is solid, but unsure whether it will withstand the SEC’s scrutiny?  With a minimal investment of your staff’s time, RIMC’s effective yet surprisingly affordable cybersecurity review process can answer both questions.  RIMC will provide both a report summarizing our work performed and a practical project plan your organization can use to implement an effective cybersecurity oversight process.

RIMC’s principal has been conducting due diligence reviews for over 20 years.  Contact us to learn how RIMC can lead a thoughtful, effective due diligence review (either in person or remotely).

RIMC is more than capable to perform a focused, customized review of your business.  RIMC often teams with one of its competent partners to perform these reviews.

RIMC puts its 20+ years of experience in managing SEC exams to good use in conducting mock exams for advisers and funds.  Whether you want an overview exam or a simulated experience with an actual examiner, RIMC can fill both roles.

RIMC builds meaningful, risk-based compliance programs.  RIMC’s principal has been building and perfecting compliance programs for 20+ years.

To be clear, RIMC is not a technology provider and will not fill your technology needs.  However, we understand cybersecurity issues and related processes, and routinely build functional cybersecurity programs with our clients.  In this constantly evolving space, RIMC has established a thoughtfully structured project management process designed to ensure the adviser establishes a program that fits (including, for example, customized incident response plans and service provider oversight processes).

RIMC’s plans are customized, flexible and practical.  Using an off-the-shelf plan?  Contact us to learn how RIMC’s process can enhance your firm’s process.

RIMC will lead your service provider search, including creating a customized RFP and managing the selection process.  We are confident the fees you pay RIMC will be more than offset by the fees you save during the contract negotiation process.

Reviewing marketing materials is as much art as it is science.  RIMC’s principal has 20+ years’ experience in reviewing adviser marketing materials, and understands when to apply art or science to the marketing material review process.

RIMC’s principal has a history of successfully managing SEC exams, and can help you successfully prepare your staff for an impending exam, as well as help you successfully navigate the exam itself.

Educating employees on compliance matters is a critical component of your compliance program.  RIMC takes a thoughtful, yet engaging approach to educating employees.

Online compliance management platforms have come a long way.  RIMC can help you analyze your options, and can manage the implementation process.

Got a project in mind?  If RIMC is not the right fit, we will offer advice on who may be.