Our Services

Compliance Services

Whether you need an outsourced CCO or support for your existing compliance team, we step in so you're not building compliance from scratch or carrying it alone.

Outsourced CCO & Consulting

Direct phone/email access, in-person meetings when needed, regularly scheduled calls plus ad hoc as issues come up, exam support and response preparation, WSP and compliance manual review (initial and ongoing), regulatory updates translated into practical next steps.

Compliance Administration

Annual risk assessment, advertising/marketing review, personal trading and outside-business-activity monitoring, and a compliance testing program tailored to your firm. We also support daily supervision. Continuing education: an annual needs analysis and written training plan, with training delivered virtually or on-site.

Regulatory Filings

Form U4/U5 (broker-dealer reps), Form ADV annual updates (RIAs), CRD/IARD account administration, review of web CRD, and other required filings as applicable to your firm.

AML Program Support & Independent Testing

Your required AML independent test, with a written report examiners can see. We also review how suspicious activity gets spotted, escalated, and reported, and update your customer ID checks for documents that AI can now fake.

Governance Services

The systems and habits that keep your firm ahead of problems, and ready when one hits.

Policy & Procedures

WSP review and modernization, initial and ongoing, so your manual reflects how the firm actually operates today, not five years ago. A paper trail examiners can see.

Oversight & Monitoring

Scheduled sweeps for outside threats (imposter sites, fake rep profiles, misuse of the firm's name, with a Takedown Toolkit included) and monitoring FINRA and IC3 alerts and notifications of cybercrime activity. We also watch for internal gaps (undisclosed outside business activity, off-book solicitation, risky marketing claims). In addition, OSJ, branch and non-branch office inspections. Every flag gets reviewed by a person and documented.

Vendor & Third-Party Oversight

A list of every outside vendor that touches your firm or client data, ranked by risk, with the oversight Reg S-P now expects written down. If a vendor has a breach, you'll already know what they owe you and what to do next.

Ongoing Oversight & Reporting

A monthly check on workflows and staff accountability, sign-off on new growth initiatives, regular reporting to ownership, and review of regulatory fee invoices, with a paper trail behind every decision. We also get you signed up for FINRA's free threat-alert service, make sure those alerts reach the people who need them, and send you a short, plain-English threat briefing every quarter.

Incident Readiness, Tabletop Exercises & Business Continuity

Incident Response Playbook: Decision trees, escalation paths, and containment steps built for account takeovers specifically, not a generic breach plan pulled off a template. Built to meet Reg S-P's written incident response program requirement, and scaled for branch networks and growing firms.

Notification & Contact Readiness: Customer and regulator notification templates ready before you need them, plus contacts lined up in advance at FINRA's Fusion Center, the FBI's Cyber Division, forensics firms, and your insurance carrier.

Account Takeover & Transfer Fraud Assessment: Where your logins, passwords, logging, and outbound transfer controls actually stand today, including how new external accounts and account transfers get approved, and whether wire requests and bank instruction changes need a second sign-off and a call-back before money moves. You get a written gap report with fixes ranked.

Tabletop Exercise: Your business, compliance, and tech people walk through a realistic account takeover together. You get an after-action memo and a prioritized fix list.

Business Continuity Plan: Your required plan, updated for how firms actually get disrupted now: cyber attacks, vendor outages, and a key person suddenly unavailable. Reviewed every year and tested.

Cyber Event Impact Assessment: Already had an incident? Working alongside your IT provider or forensics firm, we help you sort out what was affected, who needs to be told, and what to fix first.

It's not a matter of if, it's when.

U.S. firms lost over $300 million to account takeovers in 2025 alone.

Source: FBI IC3, Nov. 2025

Operations & AI Services

Helping your firm run leaner and serve clients faster. Whether you're just exploring AI tools or already using them, we help you choose the right ones, use them safely, and automate the busywork that slows your team down.

Guardrail Audit

A five-point gap analysis of your firm's current or planned AI use against 2026 SEC expectations, delivered as a written report with what to fix first:

The AI tools and vendors you're using, and whether they meet basic security standards
Whether your WSP addresses AI use
Whether AI-generated work gets a documented human review before it reaches a client
Where client data goes when it passes through an AI tool
Whether your incident response plan covers the vendor-breach-notification requirement

Workflow & Ownership Review

We map who does what, where work stalls, and where the same information gets typed in more than once. That includes a gap we see often: when someone on your team spots something suspicious, who do they tell, and who decides if it has to be reported? We make that path clear and put it in writing. You come away with clear ownership and a ranked list of what to streamline or automate first.

Automation & AI Setup

We put the right automation in place, from AI-powered compliance platforms like Greenboard to connecting the systems your team uses every day, so client information gets entered once, not three times. That means fewer copy-and-paste errors, faster answers for clients, and less time on manual review. We document it all in a WSP addendum covering your AI tools and how they're supervised, and a person still reviews every flag.

Why It Matters

The real value isn't the technology itself, it's what it gives back. When we streamline and automate the workflows behind your compliance program and business operations, that's time and management attention that goes toward growing the business, not just keeping up with it.