Effective Compliance
Lower the cost of compliance while elevating the effectiveness of your compliance program.
Effective Compliance LLC transforms compliance personnel and programs into value-add differentiators for their organizations.
More Value, Less Cost
Our engagements are a seamless blend of Consulting, Advisory, Coaching, and Training Services customized to your objectives and priced to deliver value.
We help compliance professionals and organizations REDUCE risk, liability, and the cost of compliance and INCREASE value within the organization and for clients.
Our Services
Our services support Compliance Professionals and Programs across all industries with specialized solutions for Registered Investment Advisers (RIAs), including Fund Managers.
Why Effectiveness Matters Most
Organizations with effective compliance programs avoid regulatory scrutiny, and organizations with effective compliance professionals have effective compliance programs.
Regulators and enforcement agencies require that organizations have compliance programs that are “effective” which is a much higher standard than simply having policies and procedures and a few checklists.
For a compliance program to be “effective",” it must demonstrate that it has the following attributes:
Well Designed
Risk Assessment and Awareness
Policies, Procedures, and Code of Conduct
Education and Training
Reporting and Escalation
Third-Party Management and Oversight
Adequately Resourced and Empowered
Senior Leadership Commitment and Participation
Compliance Personnel Autonomy, Authority, Resources, and Access
Incentives and Enforcement
Operates Efficiently
Investigation, Analysis and Remediation of Issues
Monitoring and Testing for Continuous Improvement
Leadership
Rob Tull | Founder and Managing Director
A subject matter expert and thought-leader with decades of experience helping firms and compliance and risk management professionals navigate complex regulatory and business issues, achieve goals, and reach development objectives.
Rob has been at the forefront of educating and mentoring compliance and risk management professionals, helping them find sustainable solutions within resources, energy, and time constraints.
Rob’s value goes beyond the regulatory and technical expertise that comes with years of regulatory, in-house, and consulting experience; he guides and nurtures the growth and development of the whole person to have a more rewarding and fulfilling career and life.
Experience and Credentials
Global Chief Compliance Officer and risk management executive for global investment management firms, leading multi-national and multi-discipline teams
Chief Compliance Officer and corporate officer for an exchange-traded investment fund
Chair and Director for the National Society of Compliance Professionals
SEC Examiner and Staff Accountant
Compliance Certification Advisor: over 10 years advising and co-leading the certification for investment adviser and broker-dealer compliance professionals
Adjunct Law Professor for the graduate law school compliance certification course
Frequent Presenter and Author as a Subject Matter Expert
Featured Expert Coach in International Best-Selling Books
Certified Public Accountant (CPA)
Certified Compliance and Ethics Professional (CCEP)
Certified Compliance and Ethics Professional - International (CCEP-I)
Certified Securities Compliance Professional (CSCP)
Financial Risk Manager (FRM)
Certified Fraud Examiner (CFE)
Certified Professional Coach (CPC)
Degrees from Villanova University and Loyola University of Chicago School of Law