Who We Are
At Rouse Compliance Group, we understand the challenges of today’s regulatory landscape because we’ve lived them. With leadership experience as Director of Operations, Chief Compliance Officer, and Data & Systems Manager in finance, we help firms proactively manage risk, avoid regulatory pitfalls, and build strong compliance cultures that scale.
Meet Jennifer Rouse
Driving Operational Excellence & Compliance Confidence in Financial Services
With over 20 years of experience in the financial services industry, Jennifer has built a career at the intersection of operations, compliance, data, and people. Her journey has taken her through roles such as Portfolio Administrator, Client Service Manager, Director of Operations, and Chief Compliance Officer—each one deepening her understanding of how systems, strategy, and human capital come together to drive success.
Customized Compliance
Tailored policies and procedures
What We Offer
See how we can support your team
Ready to strengthen your compliance and streamline your operations?
We partner with organizations to navigate complex regulations, build effective systems, and support day-to-day operational success. Whether you’re starting from scratch or refining existing processes, we’re here to guide you every step of the way.
Including:
Have Questions ?
Let us help with some answers
We know that managing regulatory requirements while running a financial services business can be complex. That’s why we’ve compiled answers to some of the most common questions we hear from money management firms. If you don’t see your question here, feel free to contact us directly—we’re always here to help.
We help investment advisors, RIAs, and financial firms comply with SEC and state regulations, including policies related to fiduciary duty, client communications, disclosures, and recordkeeping.
Yes. Whether you’re launching a new firm or updating your current program, we design and implement customized compliance frameworks aligned with regulatory requirements and your operational structure.
Absolutely. We support the preparation, filing, and annual updates of Form ADV (Parts 1 & 2), Form CRS, and other regulatory submissions to ensure accuracy and timely compliance.
We help streamline day-to-day functions such as client onboarding, internal controls, workflow automation, and compliance documentation—ensuring your operations are both efficient and audit-ready.
Reach out to schedule a free consultation. We’ll assess your current compliance posture and operational setup, then create a tailored roadmap to support your firm’s goals.
We offer both. You can engage us for project-based work (e.g., a compliance manual update) or retain us for ongoing monthly or quarterly compliance support.
Yes. We provide pre-audit readiness reviews, document preparation, and direct support during audits to help you respond to inquiries, resolve issues, and maintain regulatory standing.
We monitor updates from the SEC, FINRA, and state regulators, and provide proactive guidance to help you adapt your practices, disclosures, and policies in real time.
