The SEC has increased the number of enforcement cases for violations under the Investment Advisers Act of 1940. Barge Consulting, LLC conducts an in depth analysis of the firms internal controls, providing for a highly compliant investment firm.
We provide clients a mock experience similar to that of an SEC inspection. Our staff has more than 100 years of regulatory experience and have assisted clients during their inspection.
We review and/or develop trading procedures as it relates to best execution, soft dollars, trading errors, and broker selection that are concise, easy to read, and include a vast amount of beneficial information.
We assist firms with insuring effective processes to identify, access, mitigate, and manage compliance and ethics risks across the organization.
Customized assignments with specific objectives are agreed upon with clients in advance. Deadlines are established with regular updates on progression.
Oversight of investment managers on behalf of Plan Sponsors, Fund of Funds, Family Offices and Pension Consultants is provided on both an initial and ongoing basis. A risk analysis can help fiduciary meet their goals.
Recently proposed rules require investment advisers to develop a AML program. Our team will assist with training and testing of the program.
Our compliance consultants have participated in numerous enforcement cases as expert witnesses. We have also been appointed to serve as “Special Monitor” in SEC investigations.
Our consultants have been servicing institutions in the financial securities industry on regulatory and compliance matters. We have worked with hundreds of firms across the globe on business development, SEC inspections, and implementation of best practices. They conduct seminars throughout the country on topics including quality control and compliance with federal and state securities laws.
Our consultants have guided firms through the mergers and acquisitions process. We have also worked with the largest GIPS verification firm in the country. We have served as CCO for numerous asset managers and mutual fund entities, responsible for their compliance environment related to the Investment Advisers Act and The Investment Company Act of 1940, and the Employee Retirement Income Security Act of 1974 (ERISA). The firms founder obtained his initial industry experience as a Compliance Examiner and later as a Staff Accountant for the U.S. Securities and Exchange Commission. Having conducted on-site inspections of investment advisers, investment companies, broker-dealers and various other financial securities firms on behalf of the SEC, he is able to offer our clients invaluable first hand knowledge of the process.
Our consultants speak frequently at various industry conferences including National Association of Securities Professionals, Sungard Users Network, IMN Frank Fabozzi Performance Conference, Progress Investment Management Conference, Triad Investment Adviser Conference, IMN Equities Summit, and Securities Consultants International Compliance Seminars.
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"We have been working with Barge Consulting since the inception of our firm in 2000. Marvin and his team helped us build our compliance infrastructure and make continuous improvements to it over the years. Barge Consulting also helped us navigate through two SEC audits. Their responsiveness to our needs and the advice they offer us has made them a valuable partner for our firm. It has been a good experience working with Barge Consulting and we are pleased to recommend them."
"Barge Consulting was instrumental in helping our firm develop a sound compliance program. Rather than take an “out-of-the-box” approach, Barge helped us craft a compliance program which addressed compliance risks associated with our particular business model. Barge continues to be an invaluable resource to our firm as our business evolves."
"Our firm, a registered investment advisor, engaged Barge Consulting to conduct a mock SEC audit of our compliance practices. We implemented the specific recommendations from Barge from the mock audit, including suggested enhancement of our historical investment performance reporting. Marvin and his colleague Debbie Lynch's input and counsel were very helpful as we recently positively concluded an actual SEC staff exam."
"We have enjoyed a long standing relationship with Barge Consulting, LLC since our inception. The firm is responsible for our registration and help established our initial infrastructure. Barge Consulting has worked with us over the years in establishing and enhancing our firm’s Compliance program. The wealth of knowledge the Barge team provides our many departments on best practices has been invaluable."
"We have been fortunate to utilize the services of Barge Consulting for almost two decades. The firms in depth knowledge of both regulatory compliance issues as well as best practices in the investment management industry has served as a foundation for much of our firm’s past success."
Barge Consulting is a growing firm located in metropolitan Atlanta. We are a boutique operation that offers an opportunity to be innovative with plenty of room for advancement. We also offer a very flexible work environment that is both challenging and rewarding. Our clients are institutional money managers, wealth managers, plan sponsors of pension plans, and pension consultants. We are looking for self-motivated individuals to join our team.
As a consultant with our firm, you will be responsible for providing compliance consultation to the investment adviser industry as it relates to the Investment Advisers Act of 1940, Investment Company Act of 1940, and the ERISA Act of 1974. You will also be responsible for establishing business development strategies, risk analysis, and conduct presentations.
This position requires industry experience, knowledge of the SEC examination process, as well the GIPS-Performance Presentation Standards. The ability to troubleshoot problems is also required. This position provides a unique opportunity to grow in today’s rapidly expanding regulatory environment. The ability to travel is required. Compensation is very competitive and incentive based.