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About

Yuter Compliance Consulting

About

Yuter Compliance Consulting

Yuter Compliance Consulting (YCC) is an internationally recognized boutique compliance consulting firm offering consultation and support services trusted by the industry’s chief compliance officers. Yuter Compliance Consulting partners with clients to provide personalized consultation and support to enhance compliance resources and improve compliance programs.  

About

Amy Yuter

Amy Yuter, Managing Principal of Yuter Compliance Consulting, has over three decades of industry experience, including as a regulator in the Division of Examinations at the U.S. Securities and Exchange Commission. As a thought leader in the compliance industry, Amy has made significant contributions.  She is the founder of The Philadelphia Compliance Roundtable, which provides a platform for compliance professionals to exchange ideas and best practices.  Additionally, Amy established the Investment Management Compliance Testing Survey, an important tool for benchmarking and improving compliance practices across the industry.

Yuter Compliance Consulting (YCC) is a leading, boutique compliance consulting firm, specializing in tailored consultation and support services for registered investment advisers, including asset managers, private equity firms and hedge funds.  YCC is trusted by many of the industry’s most experienced chief compliance officers for highly valued regulatory advice and key insights on industry best practices. 

YCC partners with clients to provide personalized consultation and support to enhance compliance resources and improve compliance programs.  Our deep industry knowledge and regulatory expertise helps us in guiding clients to navigate the complex landscape of financial regulations.

Testimonials

Review From Our Clients

We are a true impact investing platform, and Amy has been a blessing for us. She grasped the nature of our business quickly and was able to address an array of issues and provide thorough quality advice. Her knowledge and willingness to think creatively allowed us to better understand applicable requirements and, in turn, streamline our compliance program. We enthusiastically recommend Amy – she avoids a “check the box” approach and delivers thoughtful tailored solutions.
Bob CooneySenior Vice President and General Counsel, Local Initiatives Support Corporation
"I won't mince words. If you're looking for a rocket-smart, hard-working, scrupulous compliance expert, your search is over. Our firm engaged Amy over a months-long, intricate, time- sensitive project. It would be difficult to overstate the exemplary quality, crisp pacing, and comprehensive purview of Amy's guidance and work product. And she was a joy as both a professional and an individual. We'd re-engage Amy in a heart-beat."
John BelcasterGeneral Counsel and Chief Compliance Officer, NextCapital Group, Inc.
"Amy absolutely immersed herself in our business, and in a relatively short few weeks, came to fully understand our compliance program though we had never worked together previously. She is extremely detail oriented and, having worked for the SEC as an examiner, Amy is very knowledgeable about the SEC and the ways in which they approach exams. She also works tirelessly to consider compliance requirements alongside business-needs to develop balanced and appropriate solutions. She has proved herself invaluable to us!”
Nelly Greene Perkins,Managing Director Finance & Chief Compliance Officer, Ecosystem Investment Partners
“You really did instill in me a MUCH greater appreciation for the importance of a compliance- centric sales culture. They can coexist!!... I have you to thank for that so thank you for making me better!”
Brian J. CarrollHead of Global Distribution, BrightSphere Investment Group
“We are extremely happy with Yuter Compliance Consulting. Amy Yuter provided thoughtful advice that was tailored to our business needs, included the regulatory background to support her response and suggested compliance testing and enhancements to our compliance program. A true win for us. I highly recommend Yuter Compliance Consulting.”
Deborah A. ParksChief Compliance and Administrative Officer, Investment Counselors of Maryland
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Hiring a compliance consultant is a great idea for any business that wants to ensure their operations are conducted in a legally and ethically sound manner. Compliance consultants are experts in regulatory compliance and can help businesses in navigating complex rules and regulations. They can assess risks, develop policies and procedures, and provide training to ensure employees understand their responsibilities. Compliance consultants can also help businesses avoid costly legal and reputational troubles stemming from non-compliance. Ultimately, hiring a compliance consultant gives businesses peace of mind knowing that they are operating within the law and with integrity.

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Former SEC Regulator

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