COMPLIANCE & FINOP SUPPORT
Clear guidance.
Confident next steps.
Broker-dealer compliance, FINOP, and FINRA membership support built around your Firm.
20+ yearsCompliance Experience
FocusedBroker-dealer compliance
Hands-onSupport built around your firm
YOUR BUSINESS. OUR FOCUS.
From the first filing to the next chapter.
Launching a firm.
Managing daily responsibilities.
Preparing for change.
Managing daily responsibilities.
Preparing for change.
A SPECIALIZED PRACTICE
Compliance support grounded in your business.
CAFA provides compliance, FINOP, and FINRA membership support to broker-dealers, including Firms focused on private placements. We work closely with management and compliance personnel to understand how the Firm operates, identify what needs attention, and provide experienced, hands-on support.
Whether you need help with an application, independent AML testing, financial operations, or ongoing compliance, we work alongside you to address the work ahead.
OUR SERVICES
Six ways we support your Firm.
01
Regulatory Compliance
Policies, reviews, testing, and practical guidance shaped around your business.
02
FINOP Advisory
Guidance on financial operations, reporting, and the responsibilities behind the numbers.
03
Outsourced CCO
Chief Compliance Officer services tailored to your firm’s activities and needs.
04
Broker-Dealer Compliance
Day-to-day compliance support with particular attention to private placement dealers.
05
New Member Applications
Help organizing and preparing the work behind a new membership application.
06
Continuing Membership Applications & FINRA Filings
Support for CMAs and all FINRA filings, from preparation through follow-up.
HOW WE WORK
Careful review.
Clear communication. Practical support.
01 Understand your Firm
We learn your business model, processes, personnel, and priorities.
02 Define the work
We identify the support needed and clarify the scope of the engagement.
03 Work alongside you
We provide guidance, documentation, and follow-through as the work progresses.
LET’S TALK
What’s next for your Firm?
Tell us about your business, the support you need, and any upcoming deadlines.
COMPLIANCE & FINOP ADVISORY
Experience behind every next step.
Practical compliance and financial operations support for broker-dealers.
SERVICES
GET IN TOUCH
Charles@complianceafa.com
(516) 286-5064
Long Beach, New York
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