Training and leadership development for:

• New or newly promoted compliance personnel

• Operational staff involved in supervisory responsibilities

• Senior management and ownership groups who require regulatory clarity

Focuses on:

• Confidence

• Competency

• Sustainable daily compliance operations

Ongoing compliance oversight as your firm's outsourced or interim Chief Compliance Officer.

Engagement Includes:

• Development, maintenance, and oversight of compliance programs

• Review and enhancement of policies, procedures, and supervisory systems

• Compliance calendar management & ongoing monitoring activities

• Supervision of personnel, branch activities, selling agreements, and controls

• Leadership presence for examinations, governance, and board reporting

• Structured compliance documentation for defensibility and audit readiness

Guidance and management of regulatory applications and structural filings, including:

• FINRA New Membership Applications (NMA)

• FINRA Continuing Membership Applications (CMA)

• SEC Form ADV registrations and amendments

• Form U4/U5 and supervisory reporting updates

• Organizational structure changes and ownership updates

Hands-on assistance through:

• SEC examinations

• FINRA cycle and cause exams

• Targeted reviews and inquiries

Support includes:

• Document gathering and response preparation

• Communications with regulators

• Corrective action planning and implementation

Development and ongoing refinement of your compliance framework to meet SEC and FINRA expectations.

May include:

• Written Supervisory Procedures (WSPs)

• Supervisory controls and escalation steps

• Annual risk assessments and compliance reviews

• Documented testing cycles with findings and remediation tracking