AT A GLANCE

Alyssa Heim is a Managing Director in the Financial Services Compliance and Regulation practice at Kroll, based in the Los Angeles office. She has over ten years of regulatory experience working with private fund managers and traditional registered investment advisers through all phases of their business cycle.

Alyssa joined the firm with the acquisition of Kinetic Partners in 2015. Prior to joining Kinetic Partners, Alyssa was a compliance consultant with RIA in a Box, a New York compliance consulting firm, specializing in SEC and state registrations. In this role, Alyssa managed the registration team, and corresponded with state securities divisions and the SEC throughout the registration process. She also assisted with registering hundreds of clients impacted by Dodd-Frank.

Alyssa has assisted numerous clients to register with the SEC and NFA, establish customized compliance infrastructures, implement compliance programs including periodic forensic testing programs as well as conduct mock examinations. Alyssa also has significant experience assisting clients through regulatory examinations including SEC and NFA examinations.

Alyssa also specializes in conducting due diligence of alternative data providers as well as providing guidance to such vendors to develop sound compliance infrastructures. She is also proficient with NIST standards as they apply to cyber security requirements and adviser best practices.

Alyssa received her B.A. in economics from New York University.

Let’s get the conversation started.

Drop me a quick line and we’ll set up a time to connect.

We will use this information to respond to your inquiry and process your data in accordance with our privacy policy.

Stay Ahead with Kroll

Financial Services Compliance and Regulation

In the ever-evolving financial services landscape, Kroll's award-winning team offers comprehensive regulatory and compliance services, guiding clients through registration, licensing, and compliance support to minimize risks and enhance efficiency globally.

Regulatory Advisory and Assurance Services

In an era of increasing regulatory scrutiny, Kroll stands as a premier provider of Regulatory Advisory and Assurance Services to the financial services industry. Our award-winning team helps clients navigate complex regulatory landscapes, offering tailored solutions from governance and risk management to financial crime prevention and investment compliance.

Global Regulatory Licensing Services

Kroll's expert team provides regulatory registration and licensing services taking the burden of regulatory requirements off business operators. We partner with you to answer regulator queries and assist you in developing a tailored operational framework that meets regulator and investor expectations.

U.S. Solutions

Navigate the ever-changing U.S. financial regulatory environment with confidence. Kroll provides unparalleled expertise in SEC, FINRA, NFA and CFTC regulations, helping clients mitigate risks, maintain current compliance programs and confidently overcome regulatory challenges.