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Broker Dealer Solutions


Do any of these challenges look familiar?  Managing compliance, risk and operating costs, staying on top of regulatory change, meeting the increased demands of regulators, investors and clients for increased transparency, improved controls and managing risk more effectively.   All these challenges need to be met while you focus on delivering the greatest value possible to your existing customers as well as pursuing new growth.

Not sure which compliance obligation you have? Begin with our partial checklist to get an idea of what's required of your firm 

To meet our broker dealer clients unique challenges we provide comprehensive compliance solutions that include:

Compliance & Risk Management:

Operational Efficiencies:

  • Results-based expense reduction and cost containment consulting solutions
  • Industry specific "Best-in-Class" technology systems
  • Operations back-office support
  • Health and other benefit management

Financial Excellence:

  • Regulatory Reporting - Net Capital, SSOI and other FINRA system compliance
  • Financial back-office support - accounting, bookkeeping, commission/salaried payroll, insurance and more
  • Tax matters, preparation, compliance and reporting
  • Audit preparation and completion 
  • Key-Performance-Indicator reporting structure and processing

Staff Optimization:

On either a temporary or permanent basis, we can provide qualified individuals to act as:

  • Chief Compliance Officers
  • Principal Financial Officers
  • Compliance & Financial Support

Client Development:

Building your asset base needs to involve both new investor acquisition as well an increasing existing investor contribution.  The goals are the same but strategies and tactics are different.   Our solutions include:

  • Customer-centric marketing plan development, execution and maintenance 
  • Proven interactive marketing programs, online presence and continued interaction 
  • Implementing network strategies, center of influence referral and client referral strategies
  • Process-centric enhanced investor satisfaction through cost effective solutions, including, data aggregation, heightened reporting, technology improvements and client contact

See more details about our hourly based engagements Click Here 


 
 

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