Professional compliance solutions that flex with your firm - service levels to meet your needs.

Systematic approach to custom builds

Five steps to achieve compliant outcomes

Policy and process frameworks

Maximize your compliance resources for better business performance

Windstream fills the gap in the delivery of compliance so you can grow your firm. Our experts determine what compliance infrastructure is needed, the processes to follow, the training needed, and facilitate the necessary documentation to demonstrate compliance and adhere to rules.

Our Mission

Windstream’s mission is to provide cost-effective, professional compliance services to financial services firms that understand the value of outsourcing. We customize our systematic approach to fit your needs—operationally and fiscally—and take responsibility for our assigned compliance programs so you can focus on serving existing clients and growing the firm.  

Compliance Models

From named CCO services to Consulting arrangements, we are your trusted partner in the shared mission to stay compliant with the ever-changing landscape of rules and regulations.

Fractional CCO-Services

Under this model, Windstream becomes the named CCO of the firm, and provides the necessary compliance services to satisfy your advisory compliance needs taking into consideration the size and needs of the firm.

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Compliance Consultant Services

Windstream designs custom compliance solutions to help firms in the investment management space flourish in today’s regulatory environment. Our effective solutions help compliance teams achieve efficiency.

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Trusted and Respected Investment Operations Solutions

Andrew Peek
Delphia Asset Management, Quant Equity Long Short

"We were very fortunate to have been introduced to Windstream, their model has exceeded our expectations. Windstream helped us launch several months ago with a modest $10 million in AUM. During our ramp the Windstream team was an integral part of our organization and a very high touch partner to our business. They added appropriate support to our team as we scaled and they provided invaluable advice every step of the way. Their operating model is unique as it combines high touch service with technology to ensure proper controls and scale to any operating model. The team has great experience and depth and we hope to build on a long term relationship."

John Early
Partner, VesperMare Capital, EM Macro

“Although technically an outsourced function, Windstream is more like an in-house resource. Joe T has been a true partner. Not only does he, or someone from his team, help guide you and attend every meeting to help you, they are available 24/7 whenever you call or text them with a question or for an opinion.”