Compliance and Risk Management

Compliance policies and protocols are customized to a firm’s unique operational risks and best practices in risk management. Our experienced staff will advise clients and create applicable procedures and protocols to help mitigate and eliminate risk, meet regulatory requirements and furthermore, ensure that its policies and protocols are being followed. We work closely with each client firm’s management, compliance team and legal counsel to draft correspondence with regulators. Our team has developed strong working relationships with regulatory staff from interacting extensively with them on client applications and sales practice examinations. We understand how regulators operate and what they expect, and they know and trust our competencies and work products.

Risk Management
Solutions Include:
  • OSJ and Branch inspections

  • Annual compliance meetings and Firm Element

  • Risk assessments and reviews

  • Guidance on proper risk management

  • Continuing education

  • Training

  • Anti-Money Laundering plans and testing

  • Written Supervisory Procedures

  • Business Continuity Plans

  • Financial books and records review and analysis

  • CRD System review and analysis

  • Accounting System review and analysis

  • Compliance System review and analysis

  • CEO certification preparation (including the testing and preparation of the Rule 3120 testing report)

  • CRD registrations and amendments

  • Mock regulatory examination reviews

  • Codes of Ethics

  • Privacy policies