We help FINRA member firms manage their compliance obligations through outsourced leadership, ongoing advisory services and specialized project work. Our services are tailored to your firm’s business model, supervisory structure and internal resources.
Our broker-dealer compliance services include:
- Serving as your outsourced chief compliance officer and/or AML compliance officer.
- Providing deputy CCO or Series 24 principal support for supervisory reviews, testing and regulatory filings.
- Assessing compliance programs and developing prioritized remediation plans.
- Drafting and updating written supervisory procedures.
- Conducting annual compliance reviews and supervisory controls testing, including certification support.
- Developing AML programs and conducting independent AML testing.
- Assisting with regulatory examinations and responses.
- Preparing new member and continuing membership applications, including supporting documentation and responses to FINRA comments.
- Conducting mock regulatory examinations to identify compliance gaps and prepare your firm for SEC and FINRA exams.
- Providing guidance on specialized matters, including Rule 15a-6 and digital asset securities.
- Addressing ongoing compliance questions through policy and document review, regulatory research and regular check-ins.
Our team brings firsthand experience in broker-dealer compliance and brokerage operations. We work closely with your firm to translate regulatory requirements into practical supervisory processes, with an engagement structured around your needs.
Contact us at info@outsourcecco.com to discuss your firm’s compliance priorities and how ACC can help.
