ATTORNEY PARTNERS

SERVICES FOR LAWYERS

Jamie Uppenberg is highly experienced in Financial Services and knows how to appropriately fill the spaces her legal partners need.

Your clients will benefit from our partnership

As the attorney for a FinTech, there are situations where your clients would benefit from your partnering with an experienced compliance consultant. In fact, Jamie’s clients are often referred by legal professionals. She’s not a lawyer. She’s highly experienced in Financial Services. This means she knows how to appropriately fill the spaces her legal partners need and works consistently quite closely with them.

Don't lose your clients to another firm where they get the process and legal advice all in one

If your multi-state licensing fees are more than your clients can handle, let’s partner!

When Jamie partners in this space, there is still significant legal advice that your clients will need. You will be able to continue offering legal advice while Jamie takes on most of the administrative activities at rates the clients can more reasonably afford.

Bring on a partner with the expertise to enact your advice

Advice on a compliant environment and getting hands-on building that environment are different jobs. You’ve provided the legal advice to your client. You might have even repeated yourself over and over again, and yet their environment still consistently seems to be non-compliant.

Jamie can get hands-on in the client’s environment and provide the necessary operational structure to train and enable controllers. She’ll also provide ongoing monitoring to help leaders continually assess effectiveness. All of this will be in the name of the advice you’ll still continually provide.

Many clients can hear you. They just don’t know how to truly enact what you’re saying in their environment. Jamie can help both of you.

Get help when your client doesn’t have a compliance environment that will be approved

You’ve been hired for multi-state licensing, and your client simply does not have a compliance environment that’s going to get approved. But they need those licenses now!

Jamie can bring the speed to just the Financial Crimes program or the entire Compliance Program, at the necessary pace. Truly, she’s done it before.

She’ll provide a method to ensure what is drafted in approved documents can become a reality within the company’s day-to-day activities (or the monitoring that will show it’s not).

Partner with a coach for a struggling CCO

You’re working with a Chief Compliance Officer who’s just struggling to create an effective environment. Let’s get them some coaching!

Sometimes simply being provided a methodology and being walked through the mechanics can be all it takes for a motivated individual to get on track.

You’re enabling them with the advice on what to do. Jamie can help them solve how to truly, realistically, get that advice active in their environment.

“Jamie really considered where our company was, what we could actually accomplish, as opposed to just making mandates about what we had to do. It made building structure so much more manageable and affordable.”

Robert C.

General Counsel

Uppenberg Associates is ready to be your partner in compliance

Overall, the lawyers Jamie works with are the experts. They know what to do and they regularly provide high quality advice. She partners with them to help companies make that advice a reality, on the ground, every day. Jamie’s legal partners tend to have more interaction with referred clients, while it’s effective and growing interaction particularly as the companies themselves grow.