NorthPoint Compliance provides compliance assistance to investment advisers registered with the U.S. Securities Exchange Commission. NorthPoint understands the compliance requirements of investment advisers and how to develop, implement and maintain an effective program that will accomplish your compliance objectives. NorthPoint is different because we take the time to understand each investment adviser’s compliance needs and then tailor our services to fit the level of assistance desired by your firm. With NorthPoint, you have a partner that is dedicated and determined to help your firm meet all of its compliance objectives.
By partnering with NorthPoint, you can:
- Reduce the number and severity of deficiencies and violations found during a U.S. Securities and Exchange Commission (SEC) examination.
- Decrease firm reputation risk and gain peace of mind that your compliance program is in accordance with the Investment Advisers Act of 1940 and expected best practices, and is equivalent to or better than that of your peers.
- Reduce the likelihood that compliance violations and deficiencies go undetected.
- Improve your ability to demonstrate to the SEC, as well as to clients and investors, that you maintain an adequate compliance program.
- Enhance your annual compliance review and reduce the time spent conducting such reviews.
- Reduce the impact that compliance reviews and tests have on your employees’ other initiatives and projects.
What To Expect
Maybe you already know that your firm is due for a mock audit or that you need help conducting ongoing compliance reviews. On the other hand, you may be seeking professional compliance assistance but are not sure where to begin. Whatever your needs, NorthPoint tailors its services to provide the level of assistance that is specifically desired to meet your compliance objectives. How do we do this? We start by acquiring an understanding of your firm and its compliance program as follows:
1. We review Parts 1 and 2 of your Form ADV
2. We discuss with you the current state of your compliance program
Shortly after these reviews and discussions, you are provided with a proposal outlining the scope of the project discussed, including objectives, methodologies, identification of responsibilities and fees. Upon your acceptance, the project is scheduled and we move forward with providing you the compliance assistance that you desire.
About Our Founder
Victoria G. Hogan, CFA
Victoria G. Hogan, CFA, worked for over six years as a compliance examiner in the New York Regional Office of the U.S. Securities and Exchange Commission (SEC). At the SEC, she led cause and routine examinations of a broad range of investment advisers including fixed income and equity advisers, alternative asset managers, hedge fund of funds, dually registered advisers, pension consultants, financial planners, and advisers to investment companies. Victoria then formulated and prescribed corrective and disciplinary recommendations to SEC management, including referring examinations to the SEC’s branches of enforcement and recovering misappropriated assets for clients.
Prior to establishing NorthPoint, Victoria spent two years as a compliance officer in the Legal and Compliance Department of Fortress Investment Group. At Fortress, she was responsible for developing and enforcing compliance policies and procedures, providing compliance advice, performing periodic and annual reviews of the firm’s compliance program, staying current on regulatory and compliance matters, modifying existing policies and procedures in order for the firm to remain compliant with the relevant rules and laws, and ensuring that employees of the firm were appropriately trained in compliance-related matters.
Victoria graduated magna cum laude from The College of New Jersey and is a CFA Charterholder.
Compliance Resources
Books and Records Table
Investment Advisers are required to make and keep true, accurate and current books and records relating to its advisory business. Use this chart to check that you comply. If…
Form CRS Guidance
A guide to answer your questions on the Form CRS filing and delivery requirements. If you are having trouble viewing the document please click here to view or download.
