What's included
- Mock regulatory exam walkthroughs modeled on FINRA/SEC exam scope
- Independent review of your written supervisory procedures and books & records
- Gap findings prioritized by severity, with a plan to close them before your exam
- On-call support during the exam itself if issues come up
Who it's for
- Firms with an upcoming FINRA or SEC exam and limited internal bandwidth to prepare
- Firms that want an outside perspective on a program built entirely in-house
- Firms that inherited a compliance program through an acquisition or leadership change
Works alongside your team: this is a second opinion, not a takeover — we review what your firm already has (whatever tools or processes that involves) and hand back specific, actionable findings your existing team can act on.