Compliance Consulting

At Compliers, we offer specialized  solutions to meet the unique needs of broker-dealer and RIA firms. Our services include:

• Licensed Professionals: Access a pool of highly qualified and experienced FINRA-licensed professionals to ensure compliance and operational efficiency.

• Temporary and Permanent Placements: Flexible staffing solutions to meet your short-term or long-term needs.

• Expertise in Regulatory Compliance: Staff trained and experienced in FINRA, SEC, and other regulatory requirements to support your firm’s compliance efforts.

• Seamless Integration: Our professionals integrate smoothly with your existing team, providing support where it’s needed most.

• Comprehensive Support: From compliance officers to back-office support, we provide a full range of staffing solutions to enhance your firm’s capabilities.

Partner with Compliers for reliable and efficient staffing solutions tailored to the specific needs of FINRA broker-dealer firms.

Investment advisers with assets under management (AUM) exceeding $100 million must register with the SEC. To initiate this, advisers must set up an Investment Adviser Registration Depository (IARD) account, complete, and electronically submit Form ADV through IARD. Form ADV comprises two parts: Part 1: Requires information about the adviser's business Part 2: A written disclosure statement detailing business practices.​​

Streamline Your Path to FINRA Membership. At Compliers, we specialize in providing comprehensive support for your FINRA Membership Application, ensuring a smooth and efficient path to approval. Our services include:

• Business Model Assessment: Thorough analysis of your business model to align with FINRA requirements and industry best practices.

• Application Preparation: Detailed assistance in preparing all required documentation, including financial statements, organizational structure, and written supervisory procedures.

• Regulatory Compliance Support: Guidance through regulatory requirements and proactive identification of any potential compliance issues before submission.

• Policy and Procedure Development: Customized development or refinement of compliance policies and procedures tailored to meet FINRA standards.

Empower your firm’s FINRA membership journey with the expertise of our team.

Advisers with AUM between $25 million and $100 million typically register with one or more state securities authorities, unless they meet specific exemptions that allow or require SEC registration. The registration process involves submitting Form ADV and adhering to state-specific requirements, which may include additional forms and fees. 

Achieve Industry Best Practices in Testing Standards. Our services include:

• AML (Anti-Money Laundering) Compliance: Comprehensive AML program assessments, policy reviews, and training to detect and prevent money laundering activities.

• FINRA Rule 3120 Compliance: Detailed reviews and testing of supervisory procedures to ensure compliance with FINRA Rule 3120 requirements.

• Branch Office Audits: Systematic audits of branch offices to verify adherence to regulatory standards and identify potential compliance issues.

• Policy Review: Comprehensive review and updates of your firm’s compliance policies including important regulatory updates.

• Risk Assessment: Identify and mitigate potential compliance risks through thorough analysis.

Enhance your firm’s ongoing testing and audit program with the knowledge of our experienced staff empowered by AI driven technology and tools needed for a successful and compliant year. 

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Advisers who manage private funds and have less than $150 million in AUM, or those fitting other specific criteria under the Dodd-Frank Act, may register as exempt reporting advisers. These advisers file an abbreviated version of Form ADV, focusing primarily on Part 1A. Exempt reporting advisers are not required to submit Part 2 of Form ADV.