FinOp Services - In a Registered or

Non-registered Capacity

Register as a Series 27 FinOp on a part-time offsite basis with responsibility for all required responsibilities

Prepare and file financial regulatory reports via eFOCUS

Prepare and file financial regulatory notifications

Assist with preparing  and filing the annual audit

Compliance Review

Provides assistance with, or conducts:

Supervisory system reviews in connection with annual CEO Certification

RIA Annual Review

Mock regulatory examinations

Branch office inspections

Annual review of Written Supervisory Procedures

Review of communications with the public

AML testing

​Email review

​Complaint filings

Written Procedures

Authors and revises procedures tailored to the activities of each client. Includes:

Written Supervisory Procedures (WSP) and RIA Compliance Manuals

Code of Ethics

AML Programs with CIP

Business Continuity Plans

Firm Element Needs Analysis and Training Plans

Internal Controls and Processes

Registration & Reporting

Handles firm and individual registrations and reporting through the Central Registration Depository (CRD) and Regulation Form Filings. Includes:

Managing Entitlements

Initial and amended Forms ADV, BD, BR, U4 and U5

State and SEC registrations

FINRA Contact System

​Electronic Storage Media


​Delivers educational training on various subjects for compliance with firm element CE training plans and AML

Provide training on FINRA regulatory systems including CRD and eFOCUS 

​Training of back-office staff

FINRA Membership

Compliance & Capital Consultants LLC will manage and facilitate the New Member Application (NMA) and the Continuing Membership Application (CMA) process. Includes:

Preparation and filing of Forms BD, NMA, CMA and U4

Authoring business plans, written procedures and other compliance programs

Responding to FINRA inquiries

Liaison with regulators

Compliance & Capital Consultants LLC