Compliance Consulting Services for State and SEC Registered Investment Advisors

Tiffany Chamberlain
Owner / Founder
Tiffany Chamberlain established Polaris Compliance Consulting LLC in 2012 and has over 25 years of experience in the financial services industry, specializing in accounting, audit, and compliance. As a former NASD (now FINRA) regulator and a "Big 4" advisory consultant, Tiffany has audited and advised over 450 broker-dealers and registered investment advisors (RIAs).
Her career includes serving as Vice President of Internal Audit for a major regional bank, where she oversaw compliance for the bank’s subsidiary broker-dealer and RIA. Additionally, she held the role of Senior Compliance Officer for a national securities firm, demonstrating her deep understanding of the complexities of compliance and regulatory oversight.
Tiffany excels in helping RIAs across the country enhance compliance program effectiveness and streamline regulatory reporting. Her expertise spans process analysis, needs assessment, problem resolution, and policy development. She provides guidance on critical regulatory matters, including Form ADV filings, customer disclosures, custody requirements, and advertising compliance, ensuring clients remain ahead of evolving industry regulations.
With the unique perspective of having been both a regulator and a senior compliance officer, Tiffany is highly skilled at navigating state and SEC examinations, coordinating responses to regulatory inquiries, and implementing robust compliance solutions.
Throughout her career, she has performed work for top-tier firms, including Goldman Sachs, Morgan Keegan, Raymond James, ING, and Bank of New York, bringing a wealth of knowledge to her clients.Â
Fun Facts:
Tiffany has a background in Gemology and is a Certified GIA Gemologist
Tiffany's mom's family is from a remote island that belongs to Japan
Tiffany has a picture of herself shaking hands with Jimmy Carter on a plane, on her way to a job interview (and she got the job!)
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