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Broker/Dealer Annual OSJ Branch Compliance Review/Assessment
Broker/Dealer Non-OSJ Branch Compliance Review/Assessment
Broker/Dealer Rule 3120/3130 Annual Test & Verification Review
Broker/Dealer Anti-Money Laundering (AML) Independent Testing
Broker/Dealer Financial Audit (also see Financial & Accounting)
Investment Adviser Annual Compliance Review/Risk Assessment
Bank Compliance Audit/Assessment
Bank BSA/AML Testing
Bank Financial Audit (also see Financial & Accounting)
Insurance Compliance Review/Assessment
Insurance Financial Audit (also see Financial & Accounting)
IT Vulnerability Assessments & Penetration Testing (also see IT & Cybersecurity)
Bitcoin
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Ripple
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Data Aggregation & Management
Data Analytics & Performance Reporting
Advertising Review Services (pre-FINRA Review)
CRM Software Services (also see Sales & Business Development)
Email/IM/Social Media Review Services
Search Engine Optimization (SEO) Services
Email/IM/Social Media Archiving Systems
Expert Witness- Testimonial Services
Subject Matter Expert- Testimonial Services
Bookkeeper Services
Certified Public Accountant (CPA)- Financial Statements
Certified Public Accountant (CPA)- Financial Audits (also see Audits & Assessments)
Financial & Operations Principal (FINOP) Services
Human Resource Services
Recruiting Services (Executive)
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Cybersecurity Systems & Procedures
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Vulnerability Assessments & Penetration Testing
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Attorney- FINRA Investigations/Proceedings/Orders
Attorney- State Investigations/Proceedings/Orders
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Attorney- Banking Investigations/Proceedings/Orders
Due Diligence Review for Newly Hired Personnel
Credit/Background Checks for Newly Registered Personnel
Form U4/U5 Filings for Registered Personnel
Broker/Dealer FINRA New Membership Application (NMA) Services
Broker/Dealer FINRA Continuing Membership Application (CMA) Services
Broker/Dealer State Registration filings
Broker/Dealer Registered Rep State Registration Filings
Investment Adviser State/SEC Registration & Notice Filing Services
Investment Adviser Rep State Registration Filings
Fingerprint Services & Equipment
Brand Development & Identity
Content Creation
Digital Marketing & Media
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Naming & Logo Design
Marketing Analytics
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Market Intelligence
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Operations, Systems & Processes
Business Continuity Plan (BCP) Preparation/Updates
General Compliance Consulting (Ad hoc/Q&A on Rules & Processes)
Written Supervisory Procedures (WSPs) Preparation/Updates
Written Supervisory Control Systems & Processes (WSCS) Preparation/Updates
Compliance Audits & Assessments (also see Audits & Assessments)
Compliance Management Systems/Software
Regulation Best Interest (BI)
Equity Analysts (researching stocks and their issuers)
Fixed Income Analysts (researching bond issuers)
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Enterprise Risk Management
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IT Risk Management
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CRM Software Services (also see Electronic Media)
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Broker/Dealer Sub-Clearing Services
Investment Adviser Custodial Services
OATS
ACT Reporting
Reg. NMS & Best Execution Reporting
Reg. SHO
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