Compliance Service Desk
A fully managed compliance operations team — your back office, without the overhead. Dedicated professionals handling your most critical regulatory tasks every day, every quarter, every year.
The Problem
Compliance Staffing Is a Constant Crisis
Finding, training, and retaining qualified compliance operations staff is one of the biggest challenges facing broker-dealers. When key people leave, institutional knowledge walks out the door. Deadlines get missed. Backlogs grow. And regulatory risk compounds silently until examination day.
- ✗ Staffing shortages leave compliance tasks understaffed
- ✗ Compliance backlogs accumulate during turnover
- ✗ Missed deadlines for quarterly securities counts and reporting
- ✗ Knowledge gaps when experienced staff depart
- ✗ Overhead costs of maintaining a full in-house compliance ops team
The Solution
Your Dedicated Compliance Operations Team
The Compliance Service Desk provides dedicated compliance operators who handle your daily and quarterly regulatory tasks as an extension of your team. From 17a-13 securities counts to free funds letters, confirmation management, and reconciliations -- we operate under your procedures, on your timeline, with full audit documentation.
- ✓ Dedicated compliance operators trained on your procedures
- ✓ Daily and quarterly regulatory task execution
- ✓ Complete documentation for audit and examination support
- ✓ Scalable capacity that grows with your firm
- ✓ Eliminate single points of failure in your compliance operations
Capabilities
Managed Services
Every critical compliance operations function, handled by experienced professionals on your behalf.
Quarterly Securities Counts (17a-13)
Complete management of SEC Rule 17a-13 quarterly securities counts -- from planning and execution through reconciliation and exception resolution. Every count documented and audit-ready.
Free Funds Letter Management
End-to-end processing of free credit balance letters between carrying and depositing brokers. Submission tracking, response management, exception handling, and complete audit trail maintenance.
Confirmation Management
Processing and reconciliation of trade confirmations, ensuring accuracy and timely delivery. Discrepancy identification and resolution before they become compliance issues.
Reconciliation Services
Daily and periodic reconciliation of positions, cash balances, and transaction records. Systematic break identification with documented resolution procedures for every exception.
Document Retrieval & Audit Support
Rapid document retrieval for regulatory examinations and internal audits. Organized, indexed records that satisfy examiner requests without the scramble.
Regulatory Reporting
Preparation and filing of required regulatory reports. From data aggregation through formatting, validation, and submission -- ensuring accuracy and on-time delivery every reporting cycle.
Outcomes
Compliance Operations, Guaranteed
Eliminate staffing risk and ensure every regulatory deadline is met, every time.
24/7
Always-On Compliance Coverage
Your compliance operations never sleep. Dedicated team coverage ensures tasks are executed on schedule regardless of your internal staffing situation.
100%
On-Time Regulatory Deadlines
Every quarterly count completed. Every letter processed. Every report filed. On time, every time. No missed deadlines, no regulatory exposure.
Scalable
Grows with Your Firm
Scale compliance operations capacity up or down without hiring or layoffs. Add coverage for new regulatory requirements without the lead time of recruiting and training.
Talk to Our Compliance Team
Discover how the Compliance Service Desk can eliminate your staffing risk and ensure every regulatory obligation is met -- on time, every time, with full audit documentation.