We are quite different from other compliance firms. With hands-on solutions, CXG delivers tangible benefits with our Outsourced FINOP & CFO Services. Whether you’re a start-up firm in need of a FINOP, or a mid-sized firm looking to bring on a seasoned CFO, our principals can help. We can:

  • Reduce risk with expert support to meet complex regulatory demands and deadlines
  • Focus on your core operational needs and strategic goals
  • FINOP solutions scale to your needs
  • Huge cost savings over in-house FINOP or CFO
  • Advanced FINOP capabilities & specialization

Solution: Outsourced FINOP Services

Broker-dealer compliance with SEC and FINRA rules for preparation and retention of financial and operational books is mandatory. A licensed and registered Series 27 Financial and Operations Principal (FINOP) is required to fulfill a variety of technical duties, including the maintenance of Net Capital reports, retention of firm financials, and submitting Focus II and other reports on a monthly, quarterly, and annual basis.

Your organization may be challenged to meet these duties in-house. A full-time FINOP may not be cost effective, or your current FINOP may lack appropriate resources to manage the complexity of SEC and FINRA requirements for the size of your company.

Outsourced FINOP Services from Compliance Exchange Group can bridge the gap and manage all your SEC and FINRA compliance needs. Our Outsourced FINOP Services portfolio includes:

  • Audit of current accounting practices
  • Accuracy review and approval of financial reports
  • Net Capital Compliance reports
  • Monthly Net Cap & quarterly FOCUS reports
  • Annual FOCUS Schedule I reports
  • Quarterly SSOI reports
  • Quarterly Form Custody filing
  • SIPC 6 and SIPC 7 filing
  • Supervision of your financial team
  • Primary contact with regulatory agencies for financial reporting

CXG has outsourced CFO’s and licensed Series 27 FINOPs with leading experience supervising finance teams, reviewing financial information, and filing necessary reports. They are available to share their expertise with your company and provide critical support to management.

Request a Consultation

Don’t let compliance be a distraction from your core operations. CXG has the experience and resources to efficiently manage your financial preparation, reporting, and filing requirements. Contact us today to learn more about cost effective outsourced FINOP solutions for your organization.

Ready to see what we can do for you?

Speak with one of our Principals and discuss how we can help your business.

We couldn’t believe it. We used another consulting firm for our CMA at first and things were going so wrong. We thought the deal was dead in the water. CXG stepped in and took the reigns: 9 lines of business and 20 reps! This team sure knows what they’re doing.

Long Island Broker-Dealer
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