Northern Lights Compliance Services, LLC (NLCS) is a specialized firm that provides regulatory compliance services and consulting to financial institutions. As part of the Ultimus Fund Solutions family of companies, NLCS supports a wide range of clients, including mutual funds, exchange-traded funds (ETFs), closed-end funds, investment advisers, and private funds. Their core services include providing outsourced Chief Compliance Officers (CCOs), conducting compliance program reviews and testing, performing mock regulatory exams, and offering ongoing consulting to help firms navigate the complex and evolving regulatory landscape of the United States.

Founded in

United States