Contact Bates Today

Bates Group is with you every step of the way. Contact us today for more information on how our End-to-End Solutions can help your firm.

Get My Solution Started

Bates Group Logo

This is a test alert message at the top of the Bates website - Action Link

Bates Compliance

Bates Compliance's team of experienced compliance professionals provide comprehensive offerings for Registered Investment Adviser, Broker-Dealer, and hybrid firms, as well as Private Fund and Hedge Fund clients, assisting them with compliance, risk mitigation, AML, supervision, and internal control functions.

Improving your firm’s compliance program is our number-one priority. We offer tailored services and individual and team advising for ongoing and discrete project success.

Practice Overview

Bates Compliance

Our seasoned professionals closely review and test policies and procedures, supervisory and compliance processes, and the related practices involved in operating your business, recommending changes and industry best practices to supplement and enhance your compliance and supervisory systems, and remediate the results of regulatory, litigation, and internal audit findings. We also assist our clients in forming new Investment Advisory and Broker Dealer firms with the preparation and implementation of their compliance and supervisory programs, as well as the operational infrastructure and required regulatory filings.

Practice Leadership

Meet The Team
Rory P. O’Connor

Rory P. O’Connor

Director of Business Development

David Birnbaum

David Birnbaum

Managing Director, Business Development and Strategy

Rhonda Davis, JD, CAMS, CFE

Rhonda Davis, JD, CAMS, CFE

Managing Director, Bates Compliance

Kurt Wachholz, IACCP

Kurt Wachholz, IACCP

Managing Director, Bates Compliance

Contact Bates Compliance

In the face of increased regulatory pressures and budget constraints, Bates Compliance helps financial service providers meet those obligations.

At Bates, our priority is to support your current and future compliance challenges by providing expert insight backed by decades of experience.

We protect your internal team from liability by proactively working with you to improve your compliance to mitigate potential future scrutiny.

Bates Compliance allows you to focus on your business by providing cost-effective compliance support to help you meet growing compliance obligations.