Financial and Operations Principal (FinOp) Services
CRC is a leader in outsourced FinOp services and our experienced practitioners fulfill their responsibilities with the utmost care. CRC is committed to product quality and, unlike many competitors, never overextend our FinOps with more client assignments than they can reasonably, and successfully service.
Broker-dealer financial and operational requirements are dynamic and complex. A broker-dealer that relies on an outsourced FinOp model must ensure that its FinOp is appropriately trained and has the requisite experience with the specific business lines that it operates.
An outsourced FinOp must also demonstrate his or her capacity to dedicate the appropriate amount of time and effort to each firm he or she supports. A FinOp that is registered with 12 or more broker-dealers may be a red flag that your firm should carefully consider before employing the services of such individual.
Our Client Profiles
Our experts are Series 27 licensed and have over 30 years of relevant industry experience supporting the following types of broker-dealers:
- Large integrated services organizations
- Institutional sales and trading shops
- Full service investment banks
- Private placement and mergers & acquisitions broker-dealers
- Retail broker-dealers
- Research broker-dealers
Our experts can serve as an outsourced FinOP, or support your internal FinOp. CRC’s service model is flexible and can also be leveraged on an hourly / “as-needed” basis – creating greater efficiency and significant cost savings for our clients. We offer a full range of FinOp services, including:
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.