Compliance leadership, principal capability and ongoing execution.
Engagements can range from a specific regulatory initiative to ongoing leadership and compliance-program support.
Compliance Leadership & Principal Capability
Outsourced / Fractional CCO
Ongoing or interim compliance leadership for broker-dealers, subject to firm needs and qualification requirements.
Outsourced / Fractional AMLCO
AML program leadership and administration aligned to the firm's business and supervisory structure.
Combined CCO / AMLCO
Where appropriate, one qualified professional may support both responsibilities.
FINOP Capability
Financial and operational principal support where qualified-professional availability and engagement scope permit.
Series 24 / General Securities Principal
Supervisory-principal capability supporting applicable broker-dealer activities.
Options Principal
Options-supervision capability where required by the firm's business.
Municipal Securities Principal
Municipal-securities principal capability where applicable.
Interim / Transition Coverage
Temporary support during leadership changes, vacancies or business transitions.
Ongoing Compliance & Supervision
WSPs and supervisory controls, AML, communications, continuing education, registrations, branch and supervisory change, calendars, testing, monitoring, governance and evidence.
Regulatory Examination Support
Readiness, request-list and evidence management, regulatory-response coordination, management/principal preparation, real-time issue assessment, findings management and remediation.
SEC and state adviser support across the compliance lifecycle.
Outsourced / Fractional CCO Support
Compliance leadership and program administration based on the adviser's business, registration and engagement needs.
Compliance Program Administration
Policies, annual reviews, regulatory calendars, testing, records and implementation support.
ADV & Regulatory Filings
Support for disclosure updates, change control and related regulatory filing work.
Marketing, Conflicts & Custody Controls
Review and control support across recurring adviser obligations and business practices.
Regulatory Examination Support
Readiness, evidence, response coordination, findings and remediation support.
Governance & Business Change
Support when responsibilities, ownership, systems or business activities change.
Experience beyond broker-dealers and investment advisers.
Additional experience includes futures, forex and CTA/CPO environments; banking and private wealth management; FINOP-related services; and international financial-services operating models, subject to engagement needs and qualified-professional availability.
Discuss financial-services support
Tell us what you are trying to accomplish and where you are in the process.