SAFEGUARD YOUR PRACTICE

Compliance

Our Compliance team supports and protects each practice through dedicated analyst support and provides surveillance and guidance to help you navigate the ever-changing broker/dealer, RIA, and regulatory body requirements. By handling the intricacies of compliance for you, we give you the time and freedom to focus on what matters - your clients.
Proactive Surveillance

Proactive Surveillance (ProSurv) helps you and your staff communicate effectively with IAA’s compliance team surrounding inquiries related to transactions, asset allocation, and more.

Compliance Best Practices

IAA’s Chief Compliance Officer, Jessica Sexton, presents a webinar each month to discuss and educate advisors on regulatory updates and changes.

Dedicated Analyst

When you partner with IAA, your branch office will have a dedicated analyst to help guide you and answer your questions in an timely manner. We help you serve your clients in a legal and ethical way.

Simplified Document Submission

Independent Advisor Alliance utilizes Box Relay to allow our partners to efficiently submit documentation to IAA for review, signature, and filing.

Resources to Navigate Compliance

5 Benefits of An In-House Compliance Team
Read the Article
7 Essential Compliance Tips for Advisors
Read the Article

A team that has your back.

Jessica Sexton
Jessica Sexton
Chief Compliance Officer
Chris Fallin
Chris Fallin
Senior Compliance Analyst
Derek Motto
Derek Motto
Director of Surveillance Technology
John Kamel
John Kamel
Senior Compliance Analyst
Nate Chambers
Nate Chambers
Senior Compliance Analyst
Pat Russo
Pat Russo
Compliance Associate