Principal Access Program

Principal Access Program | Compliance Exchange Group

Principal Access Program | Compliance Exchange Group

The Principal Access Program includes our deep bench of C-Level executives, CCO’s, FinOps, and other compliance principals who are made available to your firm for advisory and assistance on an as-needed, as-requested basis.

The CXG Principal Access Program was created to meet the unique and demanding requirements of each Broker Dealer. No matter what your specific challenges are, CXG will ensure your firm is provided with the expert resources to make sure any questions or issues are handled in an efficient and compliant manner.

Broker Dealer compliance can often be quite challenging. Perhaps your CEO has financial issues that need immediate attention, or your CCO has questions about new FINRA rules, or your FinOp would like advice and assistance with filing mandatory reports. If you need compliance assistance, the CXG Principal Access Program will help you efficiently and cost-effectively address your needs.

Get the expert help you need, even expand your service lines, while saving time, money, and resources compared with hiring in-house. Our Principal Access Program helps you focus on what you do best, run your firm and make money!

What are the Benefits of the CXG Principal Access Program?

  • Reduce risk with expert on-demand support to meet complex regulatory requirements and deadlines
  • Focus on your core operational needs and strategic goals – leave the compliance worries to the Principal Access Team
  • FinOp solutions scaled to meet your exact needs, including advanced capabilities and specialization
  • Substantial cost savings over in-house FinOps, CFO’s or CCO’s

The CXG Principal Access Program will Keep You Compliant

Whether you need all of these services or just some, CXG has you covered with our flexible Principal Access Program, designed specifically for you.

  • 3120/3130 Supervisory Controls Assessments
  • Advertising Review
  • AML Annual Report
  • AML Independent Testing, Risk Management, Program Supervision
  • Annual Compliance Meetings and Training
  • Books and Records
  • CCO / Chief Compliance Officer
  • CFO / Chief Financial Officer
  • FinOp
  • FINRA Examination Assistance
  • And more…

Book an appointment with one of our highly trained professionals to discuss your principal outsourcing and compliance requirements.

Book Now

Or call us at 631-595-5305.