Broker Dealer Compliance Services

CRC is staffed with a team of Executive Level Compliance Officers that specialize in establishing, maintaining and executing Institutional / Capital Markets, Retail and Ultra High-Net Worth Broker-Dealer (”BD”) Compliance Programs.

Our support services Include:

  • FINRA New Membership Applications (“NMA”) and Continuing Membership Applications (“CMA”)
  • Affiliated Investment Advisor Conflicts of Interest Assessments
  • Overall Compliance Strategies and Execution
  • Outsourced CCO
  • Written Supervisory Policies and Procedures
  • Annual WSP CEO Certification Reports
  • Fraud and AML Investigations
  • Annual Anti-Money Laundering Assessments
  • Market Access (SEC Rule 15c3-5) Assessments
  • SEC, FINRA, and State Inquiry and Investigation Responses
  • Advertising and Sales Literature Reviews
  • Customer Transactions and Employee Personal Trading Reviews
  • Annual or Periodic Branch and Desk Mock Examinations
  • E-mail Reviews, including implementation of surveillance platforms
  • Financial and Operations Principal (FinOp) Services
  • Annual Compliance Meetings and Firm Element Training
  • Ongoing Registration Services (Form U-4, Form U-5, Form BD)
  • CRC specializes in the creation of tailored enterprise compliance risk management programs that fully reconcile to an organization’s governance standards and desire to establish a “culture of compliance”
  • CRC’s experts have the ability to offer the following end-to-end compliance support services:
    • Business Ethics
    • Compliance Operational Risk Assessments
    • Social Media Business and Compliance Optimization
    • Compliance Technology Road-Mapping
    • Training and Development
  • Regulatory Guidance for Capital Markets and Investment Banking Services include:
    • Full spectrum of securities product offerings including:
      • Equities
      • Fixed Income
      • Equity, Convertible and Fixed Income Origination, Underwriting and Syndicate
      • OTC Derivatives and Listed Options
      • Securitized Products
      • Research

What We Do

At Compliance Risk Concepts, we provide clients with the critical skills and expertise required to establish, maintain and enhance a balanced and effective compliance operational risk management program. Contact us for more information on how we can provide financial consulting services for your organization.

Contact Us

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