Full Service Compliance

Compliance is 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:

  • Full CCO Outsource (if needed)
  • 3120/3130 Supervisory Controls Assessment
  • AML audit – independent testing
  • AML procedures
  • Annual compliance meetings
  • Books & records
  • Business Continuity Plan
  • 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

Our compliance outsourcing is 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 compliance 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.

Ready to see what we can do for you?

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.

NY Broker-Dealer
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