Los Angeles has a wide-ranging financial services market, from investment advisers and private funds to broker-dealers, family offices, wealth managers, and emerging fintech firms. For many of these organizations, compliance is not just a regulatory requirement. It is part of how the firm protects clients, manages risk, and keeps the business moving.
Gryphon Compliance works with regulated investment management firms in Los Angeles and across California, helping them manage the day-to-day realities of compliance with experienced, practical support. That may include building policies and procedures, preparing for regulatory exams, strengthening internal oversight, reviewing marketing materials, assessing cybersecurity risk, or providing outsourced Chief Compliance Officer support.
The goal is simple: help firms maintain a compliance program that is organized, defensible, and built around how the business actually operates.
A strong compliance program has to do more than sit on paper. It needs to reflect the firm’s services, clients, personnel, technology, vendors, communication channels, and overall risk profile.
Gryphon Compliance helps firms address these areas through customized regulatory compliance support, including:
Compliance program development and management
Policies and procedures
Annual compliance reviews
Risk assessments
Mock regulatory exams
Regulatory filings and registrations
Code of ethics support
Marketing review
Employee compliance training
Third-party vendor due diligence
Regulatory exam assistance
Ongoing compliance consulting
For firms with limited internal bandwidth, Gryphon can help bring structure, consistency, and experienced oversight to the compliance function.
Not every firm needs, or can justify, a full-time internal Chief Compliance Officer. Gryphon’s outsourced CCO services give firms access to experienced compliance leadership without adding a full internal role.
This support can be useful for growing advisers, private fund managers, newly registered firms, and firms that need clearer ownership of compliance responsibilities. Gryphon helps manage the core elements of a compliance program, including documentation, testing, training, monitoring, issue escalation, and ongoing program updates.
Electronic Communications Surveillance
As firms use more communication channels, supervision becomes more complicated. Email, chat, collaboration tools, messaging platforms, and other digital channels can all create compliance risk if they are not properly monitored and documented.
Gryphon provides electronic communications surveillance support to help regulated firms review business communications, identify potential issues, document findings, and improve oversight. This can be especially valuable for firms with remote teams, hybrid work arrangements, multiple office locations, or employees using a range of communication tools.
Cybersecurity Assessment Support
Cybersecurity is now a central part of regulatory compliance. Firms are expected to understand their risks, evaluate controls, protect sensitive information, and show that cybersecurity is being handled with appropriate oversight.
Gryphon CyberIQ helps firms evaluate their cybersecurity posture, identify gaps, and better understand where additional controls or documentation may be needed. For firms managing client information, investor data, trading activity, vendor access, and internal systems, this kind of assessment can help support a stronger and more complete compliance program.
Why Work With Gryphon Compliance Services
Gryphon brings experienced compliance support to firms that need practical guidance, not boilerplate advice. The team works to understand the firm’s business, risk profile, structure, and regulatory obligations before recommending a path forward.
That approach helps firms create compliance programs that are more useful in practice and better positioned to hold up under scrutiny.
Gryphon can help with:
Ongoing compliance program support
Outsourced CCO services
Regulatory exam preparation
Cybersecurity assessments
Electronic communications surveillance
Marketing and advertising review
Risk-based compliance planning
Compliance documentation and testing
Serving Los Angeles and California Financial Markets
Gryphon works with investment management firms in Los Angeles and throughout California, including firms in Downtown Los Angeles, Century City, Beverly Hills, Santa Monica, Pasadena, Glendale, Long Beach, Orange County, San Diego, Silicon Valley, San Francisco, and other California markets.
Whether your firm needs ongoing compliance support, help preparing for a regulatory exam, outsourced compliance leadership, cybersecurity assessment support, or improved communications surveillance, Gryphon can help strengthen your program with practical, experienced guidance.
Talk to Gryphon Compliance
If your firm is looking for regulatory compliance consulting in Los Angeles, Gryphon Compliance can help you assess where things stand, identify areas for improvement, and build a compliance program that better supports the business.
Contact Gryphon Compliance to learn more about compliance consulting for Los Angeles-area investment management firms.
