Senior-level compliance expertise for broker-dealers navigating FINRA supervision requirements, AML obligations, and enforcement-related remediation. Every engagement is led by principals with direct regulatory experience no junior analysts.
Consultants average 25-30+ years of experience
Fixed-fee engagements – no overage charges – ever.
Full or fractional CCO support for broker-dealers that need senior compliance leadership without the cost of a full-time hire. You get a named, registered principal who knows your business not a rotating help desk.
Designated AML Compliance Officer support for broker-dealers that need experienced BSA/AML leadership without adding headcount. Your program gets a named AMLCO who understands how AML obligations actually apply to your business model introducing, clearing, digital assets, and/or FinTechs.
Annual independent testing and documentation of supervisory controls, tailored to your firm's specific business lines and risk profiles. Our reviews are built to withstand FINRA examination scrutiny.
Risk-based AML reviews aligned with FINRA Rule 3310, Bank Secrecy Act expectations, and SAR escalation effectiveness delivered by experienced AML professionals.
Regulator-facing remediation engagements including governance reform, policy redesign, execution testing, and compliance attestations. We have direct experience managing enforcement-level compliance work.
End-to-end support for FINRA new membership applications, including coordination of required documentation, regulatory disclosures, and responses to FINRA inquiries.
Pre-exam and pre-registration assessments identifying gaps in policies, procedures, surveillance, and recordkeeping. We prepare you before regulators arrive.
Custom compliance training for staff, supervisors, executives, and boards, including AML, supervision, fiduciary obligations, and regulatory updates.
