Built For Compliance

By Compliance


Our blog on all things financial regulatory compliance


Learn how to optimize your business, compliantly



Built for compliance by compliance


One tool to rule them all

Compliance specialists on demand


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Compliance Made Easy

Complect is an online platform that helps registered investment advisers easily manage their compliance programs with solutions tailored to their unique business practices and supported by our extensive network of freelance compliance specialists. As compliance experts, we know the importance of regulatory compliance. And, as serial entrepreneurs we recognize that its complexities create barriers to compliance.

That's why we started Complect.

We believe in building software that makes compliance easy. Our ecosystem of resources are designed to provide you with an integrated, cloud based compliance program management tool that marries technology with human expertise. Whether you want to DIY, outsource a few tasks, or rely on a fully outsourced team, our SaaS platform makes it possible to customize a compliance solution to your needs and budget. Gone are the days of overpaying for consulting firms. Gone are the days of being shoved into cookie cutter service packages. No problem is too big or small at Complect.  

$750 bn

Spent Annually On Compliance

FT, 2018



Outsource A Part Of Their Compliance Function

Reuters, 2017

Modern Office

~$4 bn

SEC Disgorgements And Penalties In FY19

SEC, 2019

The Team


Hanh Nguyen

Former consultant at ACA Compliance Group directly advising some of the world's top asset managers. Founder of Yossarian Capital Partners, a social impact private equity fund turned corporate advisory firm.


James Lerner

Lazard investment banker turned venture capital investor managing the former head of Lazard Australia's private investment vehicle and most recently the North American Director of Operations for Atlas Arteria.

kevin 2.png

Kevin Keefe

30 year veteran RIA and broker-dealer executive turned angel investor and fintech advisor. Senior roles at leading institutions within the financial services industry. Formerly the President and CEO of First Allied Securities.

Let's Grow Together

April 2018

Complect launches

October 2019

100+ business signed up

TBD 2021

1st Compliance Connect Conference

June 2018

Kevin joins Advisory Board

August 2020

SaaS offerings launch