Compliance Consultant for RIAs
Isabella Aslan, Principal, Compliance Consultant
LOS ANGELES - July 11, 2022 - (Newswire.com)
Isabella Aslan Compliance Consulting celebrates its first year in business. Isabella Aslan offers compliance consulting and outsourced services for Registered Investment Advisors (RIAs).
Ms. Aslan has nearly 20 years of finance industry experience, and enjoys being able to leverage her expertise to help firms navigate the complexities of the regulatory compliance landscape. "I feel grateful and humbled for any opportunity I come across where I can use my knowledge and the lessons I have learned to ease the burden of management teams, and alleviate the stress and uncertainty of regulatory matters," Ms. Aslan commented Thursday.
Ms. Aslan's practice covers a wide range of regulatory issues, including SEC registration; Rule 206(4)-7 annual reviews, Form ADV and CRS filings, marketing material reviews, cybersecurity and business continuity planning, books and records management, trading and client guideline checks, ESG adherence, conflicts of interest, custody, policies and procedures, social media review, employee compliance monitoring, onsite and remote mock exams, and audit preparation. She additionally assists with '40 Act Funds compliance, due diligence reviews and requests for proposal (RFPs).
A native of Los Angeles, Ms. Aslan started her career with Merrill Lynch's Century City office, and moved on to positions at local investment advisory firms, spending several years in VP and CCO roles. Ms. Aslan is a graduate of Wellesley College and Loyola Law School, Los Angeles. She holds an IACCP designation from National Regulatory Service (NRS) and a Certificate from the Principles of Responsible Investing (PRI) Academy, an investor initiative in partnership with the UNEP Finance Initiative and UN Global Compact.
For inquiries, please contact iacompliance@tutanota.com.
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Original Source: Isabella Aslan Compliance Consulting Celebrates First Anniversary
