Compliance and Risk Management
Compliance policies and protocols are customized to a firm’s unique operational risks and best practices in risk management. Our experienced team will advise clients and create applicable procedures and protocols to help mitigate and eliminate risk, meet regulatory requirements and furthermore, ensure that its policies and protocols are being followed. We work closely with each client firm’s management, compliance team and legal counsel to draft correspondence with regulators both in the United States and the United Kingdom. Our team has developed strong working relationships with regulatory staff from interacting extensively with them on client applications and sales practice examinations. We understand how regulators operate and what they expect, and they know and trust our competencies and work products.
Solutions Include:
OSJ and Branch inspections
Annual compliance meetings and Firm Element
Risk assessments and reviews
Guidance on proper risk management
Continuing education
Training
Anti-Money Laundering plans and testing
Written Supervisory Procedures
Business Continuity Plans
Financial books and records review and analysis
CRD System review and analysis
Accounting System review and analysis
Compliance System review and analysis
CEO certification preparation (including the testing and preparation of the Rule 3120 testing report)
CRD registrations and amendments
Mock regulatory examination reviews
Codes of Ethics
Privacy policies