Nancy is a founding Member at True West. She brings over 20 years of experience in the financial industry with a concentrated focus in regulatory compliance consulting for registered investment advisory firms. She has a passion for working with clients in developing their compliance programs and assists firms with building a true culture of compliance. Nancy strives to keep a simple and straightforward approach to running an efficient compliance program.
Services
Technology
We believe in tech-ENABLED services – technology should assist in running your operations, but is not a replacement of your knowledge and ENGAGEMENT in your program.
True West Tech: Simplifying Compliance for RIAs
True West Tech, powered by Greenboard, is our comprehensive technology solution designed to streamline your compliance needs. By consolidating multiple compliance vendors into one efficient platform, True West Tech simplifies the management of RIA back-office operations. Paired with our expert consulting services, we offer a one-stop shop for everything you need to ensure compliance, reducing complexity and saving you time.
Archiving and Review of E-mails, Social Media, & Texting
Marketing Review and Approval System
Monitoring of COE Attestations
Reporting of Personal Security Transactions
CCO Compliance Calendar
Cybersecurity Compliance Program, Testing, & Documentation
Cybersecurity Policy Creation
Third Party Vendor Monitoring
Compliance Library
(Services powered by Greenboard & Advisor Armor)
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Greenboard's compliance solutions are designed to be straightforward and efficient, avoiding unnecessary complexity. With advanced artificial intelligence, Greenboard drastically reduces the volume of flagged emails for review and automatically generates trade error reports, enhancing operational efficiency. Moreover, their ongoing commitment to collaboration ensures continuous improvements tailored to the specific needs of RIAs, all while adhering to SEC-compliant reporting standards.
Partner With Us
True West partners with firms that can provide logic and value for our clients and specialize in the independent RIA space. Reach out here if you’d like to be considered as a future partner.
