Our job is to empower you in developing a strong compliance program with simple, elegant solutions to your complex compliance issues. Polished solutions designed to protect your business.
Set for Success
Sapphire Compliance Management, LLC, started in San Antonio, Texas and now, based in Troy, Michigan, provides compliance consulting services to SEC and state-registered investment advisers. The firm was founded by Neala Moore, who has almost 20 years experience in the financial services industry. Our goal is to respond and diligently address the needs of registered investment advisers.
We collaborate with you to understand your company's unique structure and needs. Adapting our services to your requirements. Together, we design a program to address your concerns within your budget. So that you have peace of mind around your compliance program and can focus on your clients.
Meet Neala Moore
With her legal background and experience in both the front office and back, Ms. Moore is uniquely qualified to help her clients navigate the current regulatory environment. She understands that compliance is not your first priority, your clients are. The depth of her industry knowledge helps her understand the demands that you face. Her attention to detail ensures that every facet is addressed efficiently and effectively so that your business runs smoothly. Read more about Neala here.
Your compliance program is the setting that allows your business to shine. It sets the tone and radiates into all aspects of your business. An efficient, effective compliance program will impact operations, client relationships, trading, and investment management. Each area, in turn, becoming more brilliant allowing you to serve your clients and grow your business.
We serve firms of all shapes and sizes. We don’t do vanilla. We design custom solutions. This means more than simply inserting the name of your business into a template. It means setting you up for success today and into the future. Read more about our services.