About Us
High Tower Compliance is a boutique regulatory compliance consulting firm that helps financial services companies manage complex regulatory requirements and maintain effective compliance programs. We provide practical compliance support to investment advisers, exempt reporting advisers, broker-dealers, private fund managers, municipal advisors, commodity trading firms, and other regulated entities.
Our services include ongoing compliance support, regulatory examination preparation, risk assessments, policy and procedure reviews, and specialized compliance projects. Led by professionals with extensive regulatory experience, High Tower Compliance provides clear guidance and practical solutions to help firms address their compliance obligations.
Our Services
Your Compliance Partner for Managing Regulatory Requirements.
State Filings & Registrations
Assistance with registration requirements and ongoing filing obligations.
Employee Training & Education
Provide employees with compliance training and regulatory awareness.
Regulatory Exam Preparation
Prepare for regulatory examinations through document reviews, mock exams, and compliance assessments.
Regulatory Filings & Amendments
Accurate and timely filings to help maintain compliance with regulatory requirements.
Ongoing Compliance Consultation
Receive continued guidance and support to address compliance responsibilities.
Compliance Policies & Procedures
Review, update, and develop policies and procedures based on your firm’s needs.
Contact Us
Email: joan.ward@hightowercompliance.com
(412) 387-2801
5831 Forward Ave
Pittsburgh, PA 15217
United States
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