The industry would view consulting as the act of providing advice or assistance as directed by the client. We pride ourselves to not just provide our best in class expert advice and broker dealer consulting services, but to also help clients to know what they just don’t know. Our team includes former regulators, AML officers, attorneys, auditors, chief compliance officers, supervising principals, and senior operations professionals. For over a decade, we have built our products and services around the needs of clients that have the in-house expertise as well as for those that do not.
The following is a list of common broker dealer consulting services that we perform for our clients:
- Expert Advice
- Written Supervisory Procedures Review, Updates and Amendments
- Financial Books and Records Review and Analysis
- Business Continuity Plans
- Anti-Money Laundering Plans
- Independent Anti-Money Laundering Testing
- Annual Compliance Meetings
- Continuing Education Plans
- CRD Administration
- Supervisory System Review & Analysis
- Compliance System Review & Analysis
- Risk Management Programs
- Expert Witness
- Outsourced CCO
- CCO and Compliance Support
- Email review
- Best Execution Review
- Regulatory liaison for regulatory matters
Culture of Compliance
Our team offers a vast array of services to build and create a “Culture of Compliance”. FINRA assesses five indicators of a firm’s culture: whether control functions are valued within the organization; whether policy or control breaches are tolerated; whether the organization proactively seeks to identify risk and compliance events; whether immediate managers are effective role models of firm culture; and whether sub-cultures that may not conform to overall corporate culture are identified and addressed. With over 15 years of experience, we can help you start a new broker dealer, file a continuing membership application, assist with registration services and coordinate outsourcing services. We help brokers/dealers handle their ever-increasing compliance obligations. Our compliance consultants have the industry knowledge, broker/dealer compliance expertise, and understanding of the regulatory requirements necessary to fulfill your compliance needs.
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