Progressive Compliance Advisors
Solutions for Compliance Professionals and Fiduciaries

Services

Progressive Insights. Progressive Outcomes.

Progressive Compliance Advisors provides innovative coaching and consulting services to compliance officers and fiduciaries at public companies, mutual funds, investment advisers, private funds, and institutional investors.  We deliver value to organizations and individuals through services that enhance both the people and the program.

Special Offer!

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Coaching, mentoring, and Training

The effectiveness of a compliance officer can be constrained by various challenges and barriers, which are difficult to overcome without the capacity, resources, and clear perspective to unlock issues and progress to grow.  As specialized professionals, compliance officers often lack the internal support and mentorship necessary to clear these obstacles.  Progressive Compliance Advisors understands these challenges firsthand and knows that empowering, educating, and enabling compliance professionals is the key to transforming compliance programs and the personnel.  Our approach to coaching and mentoring is genuinely reflective, collaborative, and insightful, as we work with compliance professionals to identify problems and blind spots, define goals and optimal solutions, commit to appropriate actions, and monitor progress and accountability.  Our coaching and mentoring services elevate the compliance professional’s effectiveness, confidence, and peace of mind.  Our coaching, mentoring, and training services include:

  • Coaching and Mentoring

  • Training and Education

  • Workshops and Seminars



Strategic and Tactical Solutions

Every compliance program and compliance professional could use additional resources to increase effectiveness.  Our compliance consulting services provide resource solutions at two levels: strategic and tactical. 

Strategic solutions are high-value customized services to help the compliance professional expand vision and coverage while making progress toward short-term and long-term objectives.  Strategic solutions include:

  • Designing, Enhancing, and Harmonizing the Compliance Program Framework

  • Assessing and Optimizing Compliance Program Operations

  • Developing and Advising on Management and Board Reporting

  • Advising and Consulting on Resourcing, Staffing, and Core Competencies

  • Other Tailored Solutions

Tactical solutions are distinct execution engagements that further the operational effectiveness of the compliance program.  Tactical solutions include:

  • Developing Policies and Procedures

  • Designing and Conducting Tests and Monitoring Activities

  • Conducting Annual Reviews

  • Risk Assessment and Analysis

  • Defining and Compiling Key Risk Indicators and Other Metrics

  • Conducting Due Diligence Reviews

  • Other Engagements



Board and Fiduciary Consulting

Directors, Trustees, and other Fiduciaries are responsible for ensuring that organizations maintain effective compliance and ethics programs.  This is daunting given the scope for fiduciaries and the complicated and dynamic expectations imposed on compliance programs.   Fiduciaries often lack the capacity and first-hand experience to confidently oversee the design and operation of an organization’s compliance program.  Progressive Compliance Advisors understands the need for a concise grasp of the compliance program that digs below the surface but also avoids getting tangled in the weeds.  Our board and fiduciary consulting services deliver succinct, clear, and independent guidance on practical and effective ways to fulfill the fiduciary duty of oversight.  Services include:

  • Developing and Advising on Management and Board Reporting

  • Designing and Analyzing Key Performance Indicators and Other Metrics

  • Assessing the Design and Operation of the Compliance Program

  • Customized Consulting and Advisory

  • Training

  • Other Specialized Engagements