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

Training


​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