BROKER-DEALER COMPLIANCE
Compliance support for your broker-dealer.
We provide hands-on compliance support to broker-dealers across a range of business models. Our approach starts with your Firm’s activities, supervisory structure, and procedures, then focuses on the compliance work that needs to get done.
HOW WE CAN HELP
Support for day-to-day compliance responsibilities.
01
Written Supervisory Procedures
Develop and update WSPs to reflect your Firm’s business activities, supervisory structure, and assigned responsibilities.
02
Electronic communications reviews
Review business communications and help maintain practical processes for supervision, escalation, and documentation.
03
Independent AML testing
Conduct independent AML testing, identify findings and potential gaps, and provide practical recommendations for remediation.
04
Business continuity & ongoing support
Develop and update Business Continuity Plans and provide ongoing help with compliance questions, procedures, and other day-to-day needs.
IS THIS THE RIGHT FIT?
Get help with recurring work or a specific project.
For broker-dealers seeking targeted help or broader support across their compliance responsibilities, we tailor our involvement to the work your Firm needs.
Whether you need help with recurring compliance tasks, a specific project, or an unexpected issue, we provide practical support to help get the work done.
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
Charles@complianceafa.com
(516) 286-5064
Long Beach, New York