Strategic Compliance Solutions

What Strategic Compliance Solutions does

Strategic Compliance Solutions, LLC is a Georgia-based regulatory compliance consulting firm founded in September 2003 by Kate Dressel to serve alternative investment firms. The firm assists NFA-, CFTC-, SEC-, and FINRA-registered entities — including commodity trading advisors (CTAs), commodity pool operators (CPOs), hedge funds, registered investment advisors (RIAs), broker-dealers, introducing brokers, funds-of-funds, family offices, and pension fund consultants — as well as unregistered investment advisors, with regulatory and operational compliance matters. The core service stack comprises four modules: compliance audits and reviews (including anti-money laundering audits, annual compliance reviews, due diligence, valuation, and best execution analysis); policies and procedures development (compliance manuals, written supervisory procedures, AML/OFAC policies, codes of ethics, compliance calendars, and business continuity manuals); compliance training (general, intensive officer training, AML/OFAC, and ethics); and ongoing support (policy updates, regulatory filings, email monitoring, personal trading reviews). The firm also produces industry publications such as 'Issues & Insights for Starting a CTA Business' (published by CME Group) and 'Alternatives Industry Resource Guide.'

Name

Strategic Compliance Solutions

Legal name

Strategic Compliance Solutions, LLC

Website

https://strategiccompliancesolutions.com

Company type

Private

Founded year

2003

Operating status

Operating

Headcount range

1–10 employees

Short description

Strategic Compliance Solutions, LLC is a Georgia-based regulatory compliance consultancy founded in 2003 that serves NFA, CFTC, SEC, and FINRA-registered alternative investment firms — including CTAs, hedge funds, RIAs, CPOs, broker-dealers, family offices, and introducing brokers — with audits, policy development, training, and ongoing compliance support.

Ownership category

akta.pro rank

Product category

Regulatory Compliance Consulting

NAICS

Management Consulting Services (54161), Other Management Consulting Services (541618)

SIC

Services-Management Consulting Services (8742)

akta.pro primary industry

Risk, Compliance & Internal Controls Consulting (BPAHACAJ)

akta.pro secondary industries

Regulatory Compliance Advisory (BPAHAFAB), Financial Crime, AML/CFT & Sanctions Compliance (BPAHAFAE), Financial Crime Compliance Program Management (Policies, Controls, Training) (FSAMAMAH), Financial Crime Compliance (AML/KYC/Sanctions) (EDABADAD)

Keywords

• Compliance consulting
• Regulatory advisory
• Alternative investments
• Hedge fund compliance
• CTA compliance

Headquarters

HQ city

Danielsville

HQ country

United States

HQ region

North America

Offices1 record

Markets served

GTM type

B2B

Offering type

Services

Cost components

Personnel, Operations, Marketing or Sales, Others

Revenue model

1. Compliance Consulting Services: Professional compliance consulting services for alternative investment firms including audits, policy development, training, and ongoing support for NFA, CFTC, and SEC registered entities as well as unregistered investment advisors.

Pricing tiers

Go-to-market motion1 record

Distribution channels1 record

Marketing channels3 records

Core offering

Strategic Compliance Solutions provides tailored compliance consulting and advisory services to NFA, CFTC, SEC, and FINRA-registered alternative investment firms, including commodity trading advisors, commodity pool operators, hedge funds, and registered investment advisors. The firm delivers compliance audits, policies and procedures development, training programs, and ongoing compliance support under multi-year engagements, with service modules scaled to both small firms needing economical compliance officer access and mid-to-large firms with billions under management.

Product overview

Strategic Compliance Solutions offers a unified portfolio of compliance services for alternative investment firms. The core offering consists of four interconnected service modules: Compliance Audits & Reviews (covering regulatory compliance, anti-money laundering, and operational troubleshooting), Policies & Procedures Development (compliance manuals, supervisory procedures, and continuity planning), Compliance Training (general and intensive officer training), and Ongoing Support (regulatory filings, monitoring, and information resources). The firm also publishes industry guidance documents for CTAs and hedge fund professionals. Services are tailored for NFA, CFTC, SEC, and FINRA registered firms ranging from startups to billion-dollar operations.

Differentiator

Problem solved

Functional benefit

Products and services

• Compliance Audits & Reviews

Named customers9 records

Segments2 records

Ideal customer profiles2 records

Technology focussed No

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Scale indicators1 record

Recent moves3 records

Expansion highlights3 records

Emerging players

• Comply (ComplySci): Comply provides RegTech software for compliance program management, employee surveillance, and code-of-ethics administration — an emerging tech-enabled substitute for the manual ongoing support services SCS sells.
• RIA in a Box: RIA in a Box delivers compliance software, policies, and training to RIAs — competing with SCS primarily in the small-firm segment where SCS offers manual policy development and compliance officer access.

Direct peers

• Cipperman Compliance Services: Cipperman provides outsourced compliance, mock SEC exams, and CCO services for investment advisers, hedge funds, and private funds — a near-identical service set to SCS for the RIA/hedge fund segment.
• Core Compliance & Legal Services: Core Compliance provides outsourced CCO and regulatory compliance services for RIAs, hedge funds, and private funds, with the same boutique, multi-engagement structure as SCS.
• Alaric Compliance Services: Alaric specializes in compliance for hedge funds, private equity funds, and investment advisers, offering outsourced compliance officer and policy development work closely comparable to SCS.
• Beacon Compliance: Beacon Compliance provides NFA, CFTC, and SEC compliance services for CTAs, CPOs, and hedge funds — a direct overlap with SCS's core regulatory footprint.
• ACA Compliance Group: ACA Compliance Group is a leading specialized provider of regulatory compliance, GRC, and advisory services to the asset management, hedge fund, private fund, and broker-dealer industry — directly overlapping SCS's hedge fund and alternative investment compliance mandate.
• National Regulatory Services (NRS): NRS delivers compliance consulting, courses, and CRCP training for broker-dealers and investment advisers, mirroring SCS's multi-regulator (NFA/CFTC/SEC/FINRA) coverage and training offerings.
• Opus Compliance Solutions: Opus delivers compliance consulting and outsourced CCO services for RIAs and private fund managers, competing head-to-head with SCS in the SMB alternative investment segment.

Broad incumbents

• Foreside Financial Group: Foreside is a larger, multi-service provider of compliance, distribution, and operational solutions to fund managers and broker-dealers, overlapping with SCS on NFA/CFTC/FINRA compliance but with a broader platform.

Market position

Strengths5 records

Weaknesses5 records

Competitive moat4 records

Key risks5 records

Key highlights6 records

Customer concentration

• LinkedInlinkedin.com/company/strategic-compliance-solutions-llc-

Compliance1 record

Revenue estimate

Valuation estimate

Number of profiles

Profiles1 record

Funding overview

Funding rounds

Investors

Funding detail is available on the Subscription and Enterprise plan.Contact sales →

M&A

Investments

M&A and investment is available on the Subscription and Enterprise plan.Contact sales →

Frequently asked questions about Strategic Compliance Solutions