ABOUT CAFA
Practical compliance guidance. Personal attention.
Built around your Firm.
At Compliance & FINOP Advisory (CAFA), we help broker-dealers manage their regulatory responsibilities, with particular experience supporting Firms focused on private placements.
We translate regulatory requirements into policies, procedures, and supervisory practices that reflect how each Firm operates. From membership applications and FINRA filings to ongoing compliance and financial operations support, we work alongside our clients to address the work ahead.
Charles Smulevitz brings 20+ years of experience to our practice. Together, Charles and Aaron Krischer provide hands-on support tailored to each engagement.
A Practical Approach
We take time to learn about your Firm’s activities, personnel, processes, and risk profile. That understanding shapes our recommendations, whether we are drafting Written Supervisory Procedures, updating an AML program, reviewing communications, or helping address findings from a regulatory examination.
From Review to Resolution
Policies are only one part of an effective compliance program. The procedures, controls, documentation, and supervision behind them must work in day-to-day operations.
We help Firms identify gaps, understand their significance, and develop practical steps to address them. Our work includes policy development, compliance reviews, independent AML testing, electronic communications reviews, and remediation support.
Working Alongside Your Team
We work closely with management and compliance personnel, providing context as well as recommendations. We recognize that compliance decisions involve judgment, operational demands, and competing priorities.
Whether you need help with a specific filing or ongoing support, we bring the same approach: clear communication, careful review, and attention to your Firm’s needs.
CHARLES SMULEVITZ
Chief Compliance Officer
Charles Smulevitz brings more than 20 years of broker-dealer compliance and financial operations experience to Compliance & FINOP Advisory. He has worked with broker-dealers across a range of business models, with particularly deep experience supporting Firms engaged in private placements. His work focuses on helping Firms navigate regulatory requirements, financial operations, supervisory matters, and day-to-day compliance needs.
Securities Qualifications
Series 4, 7, 24, 28, 53, 55, 66, 79, and 99.
AARON KRISCHER
Compliance Associate
Aaron Krischer works alongside Charles Smulevitz across the Firm’s compliance engagements. His responsibilities include drafting and updating compliance procedures, conducting electronic communications reviews, and supporting independent AML testing.
Securities Qualifications
Series 7 and Series 24.
LET’S TALK
What’s next for your firm?
COMPLIANCE & FINOP ADVISORY
Experience behind every next step.
Practical compliance and financial operations support for broker-dealers.
SERVICES
GET IN TOUCH
(516) 286-5064
Long Beach, New York