Alexander Church is a firm that is predicated on the principles of excellence. A financial firm works hard to establish a reputation with its client base, within the industry and with the regulators. Every examination is of critical importance in furthering that reputation and establishing the level of trust. Moreover, preparation for those critical examinations are the result of year-long thought and planning. Policies, procedures, controls and processes need to be reviewed and tested to ensure not only that they work but are in conformity with regulatory guidelines. Risk management practices need not only be tailored to satisfy regulatory requirements and to alert and guide senior management and operational leaders in making critical decisions.
The leadership of Alexander Church understands what is at stake. The firm is directed by professionals who have excelled in complex regulatory matters, in their capacity as former regulators and compliance officers subject to examinations. Our risk management professionals are respected throughout the industry. The team of Alexander Church has been there throughout hundreds and every type of examinationand is familiar with all types of contingencies.
We will work alongside your Legal and Compliance teams to create regulatory programs that are enviable in the industry and in the eyes of the regulators. We will be a continuing resource for Senior Management in protecting the hard-earned reputation of your firm from unnecessary regulatory problems and/or litigation.
We pride ourselves in pragmatism, efficiency and results. Alexander Church will provide honest and succinct assessments of difficult issues, and be able to implement workable solutions that fit the structure and culture of your firm. While we are prepared for every contingency, we are interested in establishing long-term relationships with long-term clients and providing the level of service and intimacy to support that.
Alexander Church has offices in Westport CT, one of the world’s leading financial communities just outside New York City and maintains back offices in Fairfield, CT. The firm’s west coast office is headquartered in San Francisco and European operation is based in London.
Alexander Church will work with Senior Management to implement a compliance program that is tailor-made to the practical realities of your business and will excel as it is subjected to regulatory scrutiny. Our continuing service model will make the Alexander Church team an extended part of your compliance staff and offer much needed support to your Chief Compliance Officer and compliance team on an as needed basis. Because the effort will be led by individuals who have either been regulators and/or exceled in hundreds of regulatory examinations, the effort will be practical, efficient and effective.
We provide compliance services for numerous types of clients, among them investment advisers, broker-dealers, banks, private fund advisers such as hedge funds and private equity firms. More information on the precise nature of the services are included in the Regulatory and Risk Management Services pages.
Requirements regarding risk identification, management and governance are here to stay. Building a risk management program, if poorly directed, can be outrageously expensive, time-consuming and ineffective. Alexander Church is led by highly experienced and effective former Chief Risk Officers and Risk Management professionals that can interpret the rules and guidelines in an understandable manner and offer efficient programs and/or solutions geared to your financial firm. Moreover, Alexander Church will serve as a continuing resource for any issues or questions that arise after your program is in place.
Not everyone is experienced in the science and art of representing a firm during a regulatory examination. Yet nothing is more important to the reputation of a firm than properly preparing for and managing an examination. The professionals at Alexander Church have unparalleled records of excellence in this area. Their experience is broad-based and wide-ranging, with experience in front of numerous federal regulators such as the SEC, OCC, Federal Reserve, FDIC, state regulatory and self-regulatory organizations such as FINRA. In addition, Alexander Church can put your firm on a regime in terms of preparing for an examination throughout the year to ensure a greater level of effectiveness.