Our Services

Serve as your firm's designated Chief Compliance Officer or supplement an existing CCO with senior-level support. I manage your compliance calendar, oversee testing and reporting, respond to regulator inquiries, and serve as a steady point of contact for the business, at a fraction of the cost of a full-time hire.

Independent testing of your AML program under FINRA Rule 3310 for broker-dealers and BSA requirements for firms with AML obligations. Scope is risk-based and tailored to your business: CIP and CDD review, EDD for higher-risk accounts, OFAC and sanctions screening, transaction monitoring, SAR decisioning, training, and recordkeeping. Deliverable is a written report with findings, root causes, and prioritized recommendations, formatted for regulator review.

Independent annual reviews under Rule 206(4)-7 for investment advisers, FINRA Rule 3120 and 3130 testing for broker-dealers, branch and OSJ inspections, and targeted testing of high-risk areas. Each review produces a clear written report with findings, root causes, and practical recommendations you can actually implement.

Building and updating AML programs, written policies and procedures, risk assessments, customer risk rating methodologies, and ongoing advisory support. Includes guidance for firms expanding into new products, jurisdictions, or customer types that change the AML risk profile.

Drafting and updating written supervisory procedures, compliance manuals, codes of ethics, and program-specific policies. I focus on documents your team will actually use, with content that is clear, current, and aligned with how your business operates, not boilerplate that sits on a shelf.

Form ADV (Parts 1, 2A, 2B, and 3) preparation and amendments, Form U4 and U5 filings, BD and IA registration, state notice filings, and ongoing filing maintenance. I handle the mechanics so you can focus on running the firm.

Mock SEC, FINRA, and state examinations designed to surface issues before regulators do. I work through likely exam areas, request lists, and interview topics, then deliver a candid readiness assessment so your team walks into the real exam prepared and confident.

Cybersecurity policies aligned with Reg S-P and Reg S-ID, identity theft prevention programs, incident response planning, and vendor risk review.

Annual compliance training for registered representatives, investment adviser representatives, and supervisors. Marketing and advertising review under the SEC Marketing Rule and FINRA Rule 2210, including testimonials, performance presentations, and social media content.

Specific engagements such as policies and procedures reviews, AML program reviews, gap assessments, remediation work following an exam or audit, and short-cycle projects to address a defined need.