Heartland Compliance Advisors

Bringing 30 years of Wall Street experience to the Heartland; providing regulatory compliance and senior management leadership to the financial services industry.

Clients We Serve

Heartland Compliance Advisers provides a full suite of regulatory compliance and advisory services to SEC-registered investment advisers, broker-dealers, mutual funds, exchange-traded funds, private equity, private credit, venture capital, and real estate fund managers.

Click on the images below for details on the services we offer.

Investment Advisers

- Advertising and Marketing Reviews
- AML Independent Testing
- CCO Outsourcing
- Compliance Advisory/Consulting
- Education and Training
- Examination Support
- Exam Deficiency Remediation
- FCPA and Anti-Bribery Risk Management
- Firm Registration
- Global Investment Performance Standards (GIPS) Services
- M&A Due Diligence
- Mock Exams and Compliance Program Reviews
- Policy and Procedure Development
- Regulatory Filings
- Rule 206(4)-7 Annual Compliance Program Review and Report

Mutual Funds, ETFs, and Other Registered Funds

- Advertising and Marketing Reviews
- AML Independent Testing
- CCO Outsourcing
- Education and Training
- Examination Support
- Exam Deficiency Remediation
- FCPA and Anti-Bribery Risk Management
- Fund Registration
- Global Investment Performance Standards (GIPS) Services
- M&A Due Diligence
- Mock Exams and Compliance Program Reviews
- Policy and Procedure Development
- Regulatory Filings
- Rule 206(4)-7 or 38a-1 Annual Compliance Program Review and Report

Private Equity, Private Credit, Venture Capital, and Real Estate Funds

- Advertising and Marketing Reviews
- AML Independent Testing
- CCO Outsourcing
- Compliance Advisory/Consulting
- Education and Training
- Examination Support
- Exam Deficiency Remediation
- FCPA and Anti-Bribery Risk Management
- Fund Registration
- Global Investment Performance Standards (GIPS) Services
- M&A Due Diligence and Portfolio Company Oversight
- Mock Exams and Compliance Program Reviews
- Policy and Procedure Development
- Regulatory Filings
- Rule 206(4)-7 Annual Compliance Program Review and Report

Brokers-Dealers

- Advertising and Marketing Reviews
- AML Independent Testing
- Branch Office Inspections
- Broker-Dealer Registration
- CCO Outsourcing
- Compliance Advisory/Consulting
- Education and Training
- Examination Support
- Exam Deficiency Remediation
- FCPA and Anti-Bribery Risk Management
- Mock Exams and Compliance Program Reviews
- Policy and Procedure Development
- Registered Representative Licensing
- Regulatory Filings
- Supervisory Control Assessment

What separates us from our competitors?

Approachable

Let’s face it, compliance is a complex, time-consuming, and often hard-to-value but critical function, particularly in today’s regulatory environment, which is why we started Heartland Compliance Advisors. With our experience, compliance doesn’t have to be overwhelming. Our hands-on approach will guide and support you and simplify your compliance program.

What keeps you up at night?

Every firm has them, the skeletons in the closet. The regulatory filing that is late, the deficiency letter that hasn’t been addressed, or even worse, the fine you may be about to incur. HCA isn’t here to pass judgment or police your firm, just the opposite. We want to be your partner and work together to find the solutions to address your firm’s risks or needs by implementing the necessary controls to alleviate your concerns.

Peace of Mind

Wouldn’t it be great to be in front of the eight ball, rather than behind it? HCA has the knowledge and expertise to get you compliant quickly and streamline your compliance program, saving you time and money. Often, hiring a compliance consultant is more cost effective than hiring internally, outsourcing to a law firm, or hiring inexperienced compliance personnel which could lead to regulatory fines that ultimately sacrifice the reputation your firm has worked so hard to build.

Partnership

When you partner with HCA, we work closely with you through every step of the process to understand your current compliance challenges and then develop a comprehensive compliance program that is tailored to your firm’s needs.

John Blevins

John Blevins is the Founder and Chief Executive Officer of Heartland Compliance Advisors (HCA), which he started in 2023. HCA is a privately owned regulatory compliance consulting firm servicing the financial services industry and is headquartered in Oklahoma City, Oklahoma.

Blevins has over 30 years of professional experience in compliance, administration, and regulatory oversight of complex products among globally diversified financial services businesses. While originally from Oklahoma, he spent most of his career based in New York City working in a global compliance capacity for several large investment management firms. Blevins started HCA because he felt there was a need for someone with significant regulatory experience to provide compliance guidance and support to financial services businesses in America’s heartland.

Before starting HCA, Blevins was Global Chief Compliance Officer for PineBridge Investments and was a member of the firm’s senior leadership team. Prior to PineBridge, he was Global Deputy Chief Compliance Officer for BlackRock. He led the implementation of BlackRock’s compliance program during the firm’s acquisition of Merrill Lynch Investment Management in 2006, and during the acquisition of Barclay’s Global Investors in 2009, which led to BlackRock becoming the world’s largest investment management firm. Blevins has also been Global Chief Compliance Officer for Lazard Asset Management, Director of Compliance for North America for SSB Citi Asset Management, and Global Director of Compliance for AIG Global Investment Group.

In 2012, ExecuRank identified Blevins as ranking 128 out of 15,000+ Chief Compliance Officers across all industries in the United States.

Blevins received his Bachelor of Science degree in Accounting from Oklahoma State University and is an active member of the National Society of Compliance Professionals. He resides with his family in Edmond, Oklahoma.

Insights

Outsourcing various roles has become one of the biggest changes for current businesses, and compliance is no exception. Whether it’s a cost-cutting decision or a lack of knowledgeable staff, outsourcing the CCO role could be your firm’s solution.

Pros of Outsourcing the CCO Role

Wealth of knowledge: With over 30 years of Wall Street experience, Heartland Compliance Advisors has the expertise you are looking for, from routine regulatory filings to extensive SEC exams and remediating deficient areas within your firm.

Time: Our focus is compliance, while you run your business. We can focus on developing or improving your firm’s compliance program.

Access/Resources: With many SEC exams under our belt, we know what the SEC is looking for and how to address a multitude of issues, allowing you to get ahead of your next exam.

Training: Whether you have a compliance team with an existing training program and are simply looking for a consultant’s viewpoint, or you need to develop a tailored training program from the ground up, engaging a compliance consultant can offer you a fresh perspective and depth of knowledge to develop a training program that will assist your employees in understanding your firm’s policies, and compliance with current regulatory requirements.

Cons of Outsourcing the CCO Role

Potential additional scrutiny by regulators.

Responsibility remains with the firm.

Difficulty communicating with the firm’s principals if their knowledge base is limited.

Resources

INVESTMENT ADVISERS

Mutual Funds, ETFs, and Other Registered Funds

Private Equity, Private Credit, Venture Capital, and Real Estate Funds

Broker-Dealers

Contact Us

Please use the contact form below to inquire about our services or for general questions.