Your Trusted Partner in FinTech Regulatory Compliance
I serve as a Fractional Chief Compliance Officer for FINRA Member Broker-Dealers and SEC Registered Investment Advisers, including wealth management and financial planning firms.
About Charles A. Christofilis
With over 26 years of experience supporting FINRA Broker-Dealers and SEC Registered Investment Advisers, Charles A. Christofilis, Esq., CAMS serves as a Fractional Chief Compliance Officer for firms seeking seasoned, ongoing compliance leadership.
What Sets Charles A. Christofilis Apart
Specialized Focus: Fractional CCO for FINRA broker-dealers and SEC-registered RIAs.
Practical Experience: 26+ years supporting wealth management and financial advisory firms.
Certified & Licensed: Attorney (NY & NJ) + Certified Anti-Money Laundering Specialist (CAMS).
FINRA Qualified: Series 4, 7, 24, 27, 63, 79.
Watch the brief introduction video above to get a closer look at Charles’s background and expertise.
Core Services Overview
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Compliance Program Design & Controls Testing
Development and refinement of your Written Supervisory Procedures (WSPs), monitoring workflows, reporting calendars, and controls systems — structured for real-world operations, not just documentation.
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Fractional Chief Compliance Officer (CCO)
Ongoing, hands-on compliance oversight for firms that need experienced leadership without hiring a full-time CCO. I integrate directly with your team to supervise compliance programs, support supervisory processes, and maintain regulatory readiness.
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Regulatory Filings & Registration Support
Guidance and document preparation for FINRA membership filings (NMA/CMA), SEC Form ADV registrations, and organizational updates. I work closely with firm leadership and counsel to ensure filings are complete, clear, and compliant.
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Regulatory Exams & Audit Support
Support before, during, and after examinations by FINRA or the SEC, including document responses, communications, and corrective action planning to ensure your firm is positioned and defended appropriately.
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Compliance Team Mentorship & Oversight
Training and guidance for internal compliance staff, firm owners, registered representatives, and advisory personnel to strengthen understanding, accountability, and daily supervisory practices.
Why Choose Charles
Deep Regulatory Knowledge
Proven record across FinTech, crypto, and financial advisory sectors.
Hands-On Approach
Direct involvement in compliance design and remediation.
Trusted by Law Firms
A behind-the-scenes resource for regulatory filings and audits.
Certified & Licensed
Attorney, AML specialist, and FINRA multi-series credential holder.
Contact Us
Ready to strengthen your compliance framework?
Schedule a consultation and discover how Charles can help your firm achieve regulatory confidence.
Email
cacregulatoryconsulting@gmail.com
Phone
(925) 787-8593