Broker dealer compliance services
Broker Dealer Compliance services are our specialty. From compiling confidential internal compliance risk audits to creating in-house compliance control processes, CXG is able to support and enable your mission critical compliance functions:
Outsourced Broker Dealer Compliance Services:
- Full CCO Outsource (if needed)
- 3120/3130 Supervisory Controls Assessment
- AML audit – independent testing
- AML procedures
- Annual compliance meetings
- Books & records
- Business Continuity Plan
- Regulation Best Interest (Reg. BI) & Form CRS
- CE Plan
- CFTC/NFA filings
- Compliance procedures – customizable to firm
- Customer compliant review and filing
- Cycle exam assistance
- FINCEN – system establishment & review
- FINRA inquiry assistance
- Firm Gateway management
- Regulatory filings
- Registered rep attestation requirement & review
- Registered rep onboarding – requirements
- Risk assessment
- System development – compliance
- Unlimited access to consulting staff
- Written supervisory procedures
Request a Compliance Consultation
Our Broker Dealer compliance services are particularly well-suited if you are a small to mid-size firm. Whether you have a full time CCO and need support staff, or if you are in need of a seasoned CCO – completely customizable, CXG can develop a Broker Dealer compliance services solution to fit both your needs and budget. Contact us today to learn more about how CXG can tailor a compliance solution to meet your firm’s precise needs.
Broker Dealer Compliance:
Full-Service Compliance
Speak with one of our Principals and discuss how we can help your business.
We needed an additional 24 to meet FINRA expansion requirements – CXG really came through for us. Very professional staff and they saved us a bundle in operating costs by setting us up with one of their licensed principals.
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