Broker-dealer Compliance
Outsourced CCO
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Leading Chief Compliance Officers in the United States
“As leading Chief Compliance Officers in the US, we spearhead regulatory excellence, providing unparalleled expertise to guide businesses through dynamic compliance landscapes, ensuring governance and integrity.”
Industry Expertise
Tailored Solutions
Regulatory Knowledge
Trusted Oversight
We position our clients at the forefront of their industry by ensuring regulatory excellence and proactive compliance strategies.
We bring years of senior compliance experience guiding firms through SEC, FINRA, and global regulatory environments.
Regulatory Compliance
FINOP Advisory
Broker-dealer Compliance
Outsourced CCO
We draw on our compliance expertise to deliver practical solutions tailored to your firm
Our team ensures firms remain compliant with SEC, FINRA, and state regulations while building strong governance frameworks that drive long-term success.
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A compliance consultant helps businesses meet regulatory, financial, and legal requirements. At ComplianceAFA, we design AML programs, perform risk assessments, assist with FINRA/SEC registration, and ensure your company operates in full regulatory compliance.
Compliance failures can lead to heavy fines, license suspensions, or reputational damage. A compliance consultant provides expert oversight, ensuring your internal policies, controls, and reporting meet FINRA/SEC, and global AML standards.
A FINOP (Financial and Operations Principal) oversees the financial and regulatory reporting of broker-dealers. ComplianceAFA offers FINOP outsourcing and advisory to ensure your firm meets capital and reporting obligations.
Our pricing is flexible and based on your business size, risk profile, and project scope. We offer one-time assessments, monthly retainers, and full outsourcing options.
Compliance ensures adherence to specific laws and regulations, while risk management identifies and mitigates potential threats to business operations. ComplianceAFA integrates both for a proactive, balanced approach.
Get a free quote here
Request a free quote today and discover how our FINOP and compliance advisory services can keep your firm audit-ready, efficient, and fully aligned with SEC and FINRA requirements.
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