Modernizing Broker-Dealer Compliance for a New Regulatory Era

The SEC’s enforcement priorities have shifted, and broker-dealers can no longer rely on manual processes, static policies, or legacy workflows. With more than $600M in fines issued for recordkeeping and communication failures, regulators have made it clear: outdated compliance systems are a liability.

Loffa’s Compliance Consulting Services (CCS) provides the strategic expertise, operational redesign, and workflow modernization firms need to stay ahead of regulatory expectations—while improving efficiency across their entire operation.

For over 20 years, we’ve helped broker-dealers transform compliance from a cost center into a durable competitive advantage.

What CCS Delivers

Advisory + Automation + Operational Excellence

Our consulting practice blends regulatory expertise with proven workflow technology, giving firms a uniquely powerful partner capable of addressing both policy and process.

1. Compliance Architecture Review

A top-to-bottom assessment of your compliance ecosystem to identify risk, inefficiency, and potential enforcement triggers.

We evaluate:

• Recordkeeping and communication oversight

• Quarterly securities counts and verification practices

• Free funds workflows and documentation trails

• Confirmation processes and exception handling

• Audit preparedness and document retention procedures

• Oversight of personal devices and off-channel communications

You receive a clear diagnostic report and prioritized remediation roadmap.

2. Regulatory Modernization & Gap Remediation

Regulators no longer accept “policies on paper.” They expect technology-enabled compliance with demonstrable enforcement.

Our team helps you modernize:

• 17a-4 and 17a-3 recordkeeping

• 17a-13 quarterly counts and verification

• AU-330 confirmation requirements

• Free Funds Letters (LOFF)

• Trade communication audit trails

• Prime Broker agreement tracking and documentation

This includes rewriting procedures, updating workflows, and implementing systems that prevent manual errors and ensure retention, traceability, and accountability.

3. Workflow Redesign & Automation Planning

We translate compliance obligations into efficient digital workflows that eliminate manual steps and reduce operational risk.

This includes:

• Automating verification follow-ups and escalations

• Centralizing confirmations and reconciliation paths

• Creating searchable document repositories

• Deploying dashboards for compliance oversight

• Integrating operational processes with Loffa’s SaaS suite

Our team ensures that regulatory obligations are embedded directly into your operational processes—not handled reactively.

4. Communication Capture & Documentation Strategies

Today’s risk landscape is dominated by communication oversight failures.

We help firms:

• Identify all communication channels in use

• Implement capture-everything systems

• Create defensible policies for personal device usage

• Establish monitoring and supervision procedures

• Automate retention, indexing, and retrieval

These controls are critical for avoiding modern SEC and FINRA communications enforcement actions.

5. Examination Readiness & Regulator Interaction Support

CCS prepares your firm to confidently face regulatory exams and inquiries.

We assist with:

• Mock exams and document readiness

• Communication review and data pulls

• Evidence mapping and gap correction

• Response strategies for SEC/FINRA inquiries

• Remediation plans following examination findings

Our consultants act as your strategic partner before, during, and after interactions with regulators.

Optional Add-On: Loffa Compliance Service Desk™

Outsourced Execution of Critical Compliance Operations

Many broker-dealers pair CCS with our fully managed Service Desk—our team operates your most sensitive workflows on your behalf.

Our Service Desk executes:

• Quarterly securities counts

• Position verification follow-ups

• Free Funds Letter processing

• Confirmation management

• Documentation retrieval and audit support

This allows your firm to stay compliant without expanding internal staff or managing complex regulatory tasks in-house.

Who CCS Is Designed For

Our Compliance Consulting Services are ideal for:

• Broker-dealers modernizing outdated workflows

• Firms facing heightened regulatory scrutiny

• Organizations preparing for exams or remediating past findings

• Prime Broker operations teams needing process redesign

• Firms seeking scalable, audit-ready compliance infrastructure

Whether you’re building a program from the ground up or updating long-standing systems, CCS molds to your firm’s operations and regulatory profile.

Why Firms Choose Loffa

A Unique Combination of Expertise + Technology + Execution

Broker-dealers choose Loffa because we bring:

20+ years of broker-dealer workflow expertise

We’ve helped firms manage compliance obligations long before today’s regulatory intensity.

A proven technology platform

Our SaaS suite (FVD, PBIN, QBS) already powers automated regulatory workflows across the industry.

Deep operational understanding

We’ve processed millions of regulatory tasks. We know where the gaps form—and how to fix them.

A consulting team focused on measurable outcomes

We don’t deliver binders. We deliver operational, auditable systems that keep firms out of trouble.

An optional Service Desk for full execution support

Advisory + automation + operational delivery = unmatched compliance modernization.

Our Engagement Process

Clear, predictable, and built around rapid impact.

Week 1: Discovery & Diagnostics
We assess your current workflows, systems, and compliance posture.

Week 2: Compliance Gap Report
You receive a prioritized remediation plan with timelines and risk ratings.

Weeks 3–6: Implementation
We modernize workflows, update procedures, and deploy needed tools and controls.

Quarter 1: Optimization & Monitoring
We verify adoption, close remaining gaps, and ensure audit readiness.

Ongoing (Optional): Service Desk Execution
We continue running high-risk compliance workflows on your behalf.

Outcomes You Can Expect

Clients typically achieve:

• Stronger regulatory posture and reduced enforcement risk

• Streamlined workflows and fewer manual processing errors

• Improved operational efficiency and faster turnaround times

• Consistent, audit-ready documentation

• Lower overall compliance costs

Compliance becomes predictable, manageable, and scalable.

Ready to Modernize Your Compliance Program?

The regulatory landscape isn’t slowing down—and firms without modern systems are absorbing the consequences.

Loffa’s Compliance Consulting Services give your firm the expertise, infrastructure, and operational support needed to stay ahead of regulators and competitors alike.

👉 Schedule a confidential consultation
Get a comprehensive assessment and roadmap tailored to your firm’s risks and growth plans.