Beyond the ordinary
Financial-services firms need more than templates and checklists. They need experienced professionals who understand how compliance, finance, operations and technology work together.
What We Offer
- Customized engagements rather than standardized packages
- Senior-level professionals assigned directly to clients
- Flexible outsourced and project-based arrangements
- Support for startup, growing and established firms
- Practical guidance designed around each client’s business model
Call : 888-584-9002
Services
We offer a range of specialized services tailored to meet your individual needs. Our approach is focused on understanding and responding to what you require, providing effective and practical solutions.
Compliance and Remote CCO
Remote compliance leadership, supervisory procedures, annual reviews, branch inspections, regulatory filings and examination support.
Other Services
- Firm Element Continuing Education
- Written Supervisory Procedures
- CRD Filings
- FINRA Response
- Customer Complaint Resolution
- Advertising Review
- New Membership Applications (NMA) & Continuing Membership Applications (CMA)
FINOP and Financial Operations
Series 27 FINOP services, net-capital monitoring, FOCUS reporting, financial statements, books and records.
Other Services
- Bookkeeping
- Regulatory Examination Support
- Expense Sharing Agreement
AML and Financial Crime Compliance
AML program design, independent testing, customer identification, beneficial-ownership procedures, sanctions controls and remediation.
Other Services
- Yearly AML Exams
- OFAC Reviews
- 314 (a)
- 314 (b)
Regulatory Applications
FINRA new-member applications, continuing membership applications, Form ADV filings, IARD administration and state registrations.
Other Services
- Private Equity Funds / Pre-IPO Fund Setups
- PPM's
- Pre-IPO Blue Sky registrations
- Pre-IPO Fund Compliance