Financial services firms operate at the intersection of regulatory complexity, technological change, and fiduciary responsibility. We serve SEC-registered investment advisers, FINRA broker-dealers, community banks, and fintech companies — with credentialed expertise across compliance, AI governance, data privacy, and organizational strategy.
Financial services firms navigate one of the most demanding regulatory environments in any industry. SEC, FINRA, OCC, CFPB, and state regulators each have overlapping requirements. Technology — especially AI — is transforming operations and creating new obligations faster than most compliance programs can adapt. We understand how it all fits together.
SEC examination readiness, FINRA rule compliance, Form ADV accuracy, Reg BI documentation, and the increasingly aggressive enforcement environment demand compliance programs that are operational, documented, and current — not aspirational.
AI in trading, client communication, compliance monitoring, and credit decisions is accelerating. Each use case brings regulatory scrutiny: model risk, fair lending implications, explainability requirements, and emerging SEC guidance on AI use.
Financial firms are among the highest-value targets for cyberattacks. Gramm-Leach-Bliley Act (GLBA) requirements, SEC cybersecurity disclosure rules, and state-level financial privacy laws create a dense compliance surface.
Legacy infrastructure, manual compliance workflows, and disconnected data environments create operational risk and limit the analytical capabilities firms need to compete. Modernization must be done carefully in a regulated environment.
We bring deep, credentialed expertise to the specific challenges financial services firms face — from SEC examination readiness to AI governance frameworks to the compliance workflow automation that makes programs operationally sustainable.
Compliance program consulting, regulatory examination preparation, Form ADV review, Reg BI gap analysis, and organizational advisory for investment advisers, broker-dealers, and financial institutions.
Learn More →AI governance frameworks for financial services: model risk management, algorithmic fairness analysis, SEC AI guidance compliance, and the policy infrastructure required by enterprise clients and regulators.
Learn More →GLBA Safeguards Rule compliance, SEC cybersecurity disclosure readiness, data classification, vendor risk management, and privacy program development aligned to financial services requirements.
Learn More →Fractional Chief Compliance Officer or Chief Risk Officer for RIAs, emerging broker-dealers, and fintech companies that need seasoned compliance leadership without a full-time hire.
Learn More →Business intelligence, compliance reporting dashboards, portfolio analytics, and client reporting infrastructure. We build the data environments that support both operations and regulatory documentation.
Learn More →Compliance workflow automation: surveillance alert routing, exam request response workflows, regulatory filing reminders, and the internal approval processes that compliance programs require.
Learn More →Financial services compliance is multi-layered, dynamic, and consequential. We approach it with the depth it requires — understanding not just the rules, but how they interact and how regulators are enforcing them in practice.
Form ADV filing and updating requirements, custody rules (Rule 206(4)-2), compliance program requirements (Rule 206(4)-7), marketing rule compliance (Rule 206(4)-1), and the books and records requirements that underpin SEC examination readiness.
Broker-dealer obligations under Reg BI: best interest standard documentation, Form CRS preparation, conflict of interest disclosure, and the care, disclosure, conflict of interest, and compliance obligations.
FINRA Rule 3110 supervision requirements, suitability and Reg BI alignment, books and records rules, and the continuing education and registration requirements for member firms.
Safeguards Rule compliance (16 CFR Part 314), privacy notice requirements, information security program requirements, and service provider oversight obligations for financial institutions.
Regulation S-P amendments, incident disclosure requirements, cybersecurity policies and procedures, and the board-level oversight documentation the SEC now requires of registered entities.
Anti-money laundering program requirements, Customer Due Diligence (CDD) rules, Suspicious Activity Report (SAR) filing obligations, and the FinCEN beneficial ownership requirements that apply to covered financial institutions.
Know Your Customer programs sit at the intersection of regulatory obligation and operational risk. FinCEN's Customer Due Diligence rule requires covered financial institutions to identify and verify customer identity, understand the nature and purpose of customer relationships, and conduct ongoing monitoring to detect and report suspicious activity. Effective KYC programs integrate identity verification procedures, risk-based customer tiering, beneficial ownership collection under the Corporate Transparency Act, and the documentation practices that satisfy examiner expectations. We help organizations assess KYC program gaps, design risk-based frameworks, and build the internal controls and recordkeeping infrastructure that regulators require.
Financial services compliance is not a general practice — it requires specific expertise, real regulatory experience, and a team that stays current. We bring all three. We'd welcome the opportunity to discuss your situation.