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.