Compliance Consulting Services for Broker Dealers and Investment Advisors
Leadspace
Leading Compliance Experts to Minimize Your Regulatory Risk
With over X years of combined compliance expertise, Red Oak helps broker-dealers and investment advisors streamline their regulatory processes and reduce the risk of non-compliance. Our tailored solutions keep you ahead of SEC and FINRA regulations—so you can focus on growing your business without the heavy administrative burden.
Proof Point Band
- X Years of Experience
- Other Stats
Benefits Band
How Red Oak Can Help You with Compliance Consulting
Decades of Regulatory Expertise
Our senior consultants bring decades of hands-on experience in financial services compliance, offering unmatched expertise in SEC and FINRA regulations to minimize your risk of penalties and regulatory inquiries.
Cutting-Edge Compliance Technology
Red Oak combines advanced compliance technology with consulting expertise, allowing you to automate and optimize your compliance processes. Our solutions reduce manual tasks and improve regulatory response times, letting you focus on growing your business.
Cost-Efficient, Flexible Staffing
Avoid the expense of full-time compliance hires without compromising on quality. Our scalable consulting model ensures you have access to the highest level of expertise while reducing operational costs.
Broker Dealer Band
FINRA mandates that all broker-dealers maintain robust compliance programs. With the increasing complexity of regulations, staying compliant is more challenging than ever. Red Oak’s comprehensive compliance programs ensure that your policies, procedures, and operations are fully aligned with regulatory standards.
Whether you need a full compliance overhaul or targeted support, Red Oak’s à la carte services allow you to fill gaps, enhance your team's capabilities, and reduce your compliance workload.
Our Broker-Dealer Compliance Services Include the Following:
Compliance Audits and Assessments:
- AML Audit/Independent Testing
- Risk Assessment
- 3120/3130 Supervisory Controls Assessments
Regulatory Documentation:
- Books and Records Creation and Review
- Compliance Procedures/Manuals Creation
- Business Continuity Plan Creation and Review
Ongoing Support & Consulting:
- Regulatory Examination Assistance
- Customer Complaint Review & Form Filing
- Regulatory Inquiry Assistance
- Mock FINRA Regulatory Examinations
IA Band
Stay Compliant, Avoid Penalties
The Investment Advisers Act mandates that firms develop and maintain robust compliance programs. Failure to comply can result in penalties, including firm dissolution.
Red Oak keeps your firm safe by monitoring SEC and state regulation changes, ensuring your compliance programs are always up-to-date. Our experts help you stay proactive, not reactive—so you avoid regulatory scrutiny and costly fines.
Our Investment Advisor Compliance Services Include the Following:
Annual Reviews & Assessments
- Annual 206(4)-7 Risk Assessment and Compliance Review
- Mock SEC and State Exams
- On-site Compliance Assessment
Policy Creation & Review
- Compliance Manual Creation/Customization/Review
- Investment Advisory Agreements Creation and Review
- Solicitor Arrangements Creation and Review
- Privacy Policy Creation and Review
Monitoring & Auditing
- Anti-Money Laundering Assessment/Implementation/Audits
- Advertising and Correspondence Review
- Personal Securities Transaction Review
- E-Mail Monitoring
- Social Networking Compliance Review
Other Services
- Best Execution Verification
- Outside Business Activity Review
- Fee Calculation Analysis and Billing Monitoring
Streamline Compliance. Avoid Penalties. Maximize Profitability.
Don’t wait until regulatory issues arise—safeguard your firm today. Speak with a Red Oak compliance expert to streamline your compliance processes, minimize risk, and boost profitability.
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Consulting Services
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