The full scope of your firm's compliance. One consulting relationship.
Our practice is structured around the compliance obligations that define institutional risk, from AML program integrity to cross-border regulatory frameworks and ongoing exam readiness.
Every ICS engagement is priced individually. Scope, complexity, and cadence vary too much between firms for a shelf rate to be honest. The first conversation is where we understand your situation and build the scope together. It costs nothing.
Start the conversation →Cross-Border Compliance
U.S. and Latin American regulatory obligations, managed together.
Financial institutions operating between the United States and Latin America face a compliance burden that few consulting firms are equipped to address. Regulatory requirements differ materially across jurisdictions, and a program designed for one market often falls short in another. Our cross-border practice was built specifically for this environment. We advise clients on how to construct compliance frameworks that satisfy obligations on both sides of the corridor, and how to manage the gaps that arise when those frameworks interact.
AML & Financial Crimes
Program design, monitoring, and ongoing compliance for high-risk environments.
Anti-money laundering compliance is not a form exercise. A program that satisfies examination on paper but does not function in practice is a liability. We design and maintain BSA/AML programs calibrated to the specific risk profile of each client: their client base, transaction types, jurisdictional exposure, and regulatory category. We do not apply uniform frameworks. We build programs that reflect how the institution actually operates and what its actual risks are.
Regulatory Compliance & Exam Readiness
Annual reviews, supervisory procedures, and examination preparation.
Regulatory examinations do not reveal problems; they confirm them. The work that protects a firm happens well before an examiner arrives. We conduct annual compliance reviews, maintain and update written supervisory procedures, and prepare clients for SEC and FINRA examinations with the specificity that exam preparation requires. Our senior consultants have worked through multiple examination cycles with their clients, and understand what regulators prioritize in practice.
Corporate Governance & Risk Management
Governance structure, risk frameworks, and accountability protocols.
Governance failures in financial institutions rarely result from the absence of policy; they result from the absence of practice. Policies that are not operationalized, committees that do not function, and risk frameworks disconnected from actual decision-making create regulatory and reputational exposure. We advise clients on governance structure design, risk committee formation, compliance reporting frameworks, and the operational integration of compliance requirements into the firm's actual workflow.
Compliance Technology
Technology selection, implementation, and integration consulting.
Compliance technology has matured significantly; the right tools, properly implemented, reduce manual burden and improve the quality of monitoring and reporting. The wrong tools, or tools poorly implemented, create false confidence and operational friction. We advise clients on compliance technology selection across the major categories: AML and transaction monitoring, case management, client onboarding, regulatory reporting, and CCO workflow platforms. Our consulting is platform-agnostic. We identify what the client actually needs and ensure what they adopt is implemented correctly.
Outsourced CCO Services
Senior compliance officer support for registered investment advisers.
Many registered investment advisers require institutional compliance infrastructure without the cost of a full-time Chief Compliance Officer at the senior level. Our outsourced CCO practice provides continuous, assigned compliance officer services to RIAs that need more than periodic consulting but are not yet at a scale that justifies a dedicated internal CCO. The consultant assigned to each client serves in an ongoing capacity, attending meetings, reviewing practices, signing required certifications, and managing the firm's regulatory relationship.
Services
The following represents the complete range of consulting services and compliance products available through ICS. Many engagements draw on multiple items across both categories.
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Policies & Procedures
Design, drafting, and annual maintenance of written supervisory and compliance policies.
Packaged Offerings
EDD: Individuals & Corporations
Enhanced due diligence reports and documentation packages for individual and corporate clients.
Forms: Individual or Complete Suite
Regulatory and onboarding form sets, individually or as a full client documentation suite.
3rd Party Vendor Due Diligence
Structured due diligence review packages for service provider and technology vendor relationships.
Portfolio Portability
Compliance documentation and process support for registered representative relocations between broker-dealers.
We work with a select number
of institutions.
Our consulting model requires proximity to each client. We keep our client base selective; it is the condition of the service we provide.