STP Investment Services Expands ComplianceAdvisor to Offer Scalable Compliance Support

New tiered solutions provide firms with flexible compliance solutions that grow with their needs

WEST CHESTER, Pa.--(BUSINESS WIRE)--STP Investment Services (STP), a global provider of technology-enabled investment operations, fund administration, and compliance solutions, today announced the expansion of its ComplianceAdvisor offering with structured, scalable solutions designed to support firms at every stage of their compliance journey.

Recognizing the evolving regulatory challenges facing wealth managers, private fund advisers, and exempt reporting advisers, STP has introduced a tiered approach, offering three different programs that provide various levels of compliance support to align with a firm’s current needs, while retaining the flexibility to scale up or down as their compliance needs change.

STP ComplianceAdvisor solutions integrate seamlessly with a firm’s existing infrastructure and leverage Hadrius regulatory technology for compliance calendar oversight and risk assessments. Hadrius personal trade review, electronic communications, and marketing review modules are also available to supplement compliance processes.

STP ComplianceAdvisor programs are designed to offer different levels of support. Firms can select the service that best fits their needs. They include:

• Pro (foundational compliance): A core compliance package providing essential services, including regulatory filings, a compliance manual, a risk assessment, and a compliance calendar.
• Plus (strategic compliance): Expanding beyond the basics, Plus includes monthly advisory check-ins and guidance to help firms stay ahead of regulatory changes, as well as regulatory exam support and unlimited consulting.
• Prime (total compliance): The most comprehensive level of service, Prime offers outsourced compliance functions, including personal trade reviews and electronic communications reviews. This program also offers the option for fully outsourcing the Chief Compliance Officer role.

“There is great uncertainty in today’s regulatory landscape. As regulatory expectations change, firms need a compliance partner that can adapt to how these changes affect their business,” said Lori Weston, Head of Compliance at STP Investment Services. “In expanding the breadth and depth of our ComplianceAdvisor offering, STP is providing a structured yet scalable solution that allows firms to engage with the level of support they need today while maintaining the ability to scale their compliance functions as their business and regulatory requirements demand.”

With a modular and scalable structure, the ComplianceAdvisor offerings empower firms to proactively manage regulatory complexity, reduce compliance risk, and stay ahead of evolving industry requirements. STP initially launched its ComplianceAdvisor practice in October 2024, further strengthening STP’s position as a trusted partner in investment operations and compliance solutions.

About STP Investment Services

STP Investment Services is an award-winning technology-enabled services company that provides middle, back-office, and compliance solutions to all types of investment advisers, including investment managers, hedge fund and private equity advisers, family offices, wealth managers, and asset owners. STP’s end-to-end investment operations, Blueprint technology, and compliance expertise provide a partnership to clients that enables them to grow revenue while optimizing processes and staying ahead of regulatory requirements. STP provides a broad range of services for the financial services industry with capabilities to process all asset classes and meet evolving business and regulatory requirements. With more than 250 employees around the world, STP services and provides solutions to clients representing more than $400 billion in assets serviced. Visit STP Investment Services and follow us on LinkedIn.