Compliance and Regulatory Services

FITS Consulting offers a comprehensive suite of compliance and regulatory services designed to address both startup and ongoing operational needs. Whether you’re launching a new broker/dealer or enhancing an existing program, our capabilities span critical compliance functions and regulatory touchpoints.

CMA/NMA Submissions
  • Readiness Business Plan Preparation
  • Engagement of Critical Vendors
  • Supervisory Framework
  • WSP/SOP Development
  • Application Submission
  • FINRA Inquiry Response Coordination
  • System Testing and Demo Preparation
  • Post Approval KIOP Reporting

Compliance Risk Assessments
  • Comprehensive assessments of compliance, operations, and supervisory programs
  • Gap analysis against regulatory requirements and industry best practices
  • Risk ranking and prioritized action plan
  • Ongoing monitoring frameworks

Policy Development & Remediation
  • Custom policy creation tailored to regulatory expectations and firm activities
  • Review and enhancement of existing compliance policies
  • Remediation plans for regulatory findings or exam results
  • Integration of policies with workflows and controls WSP Review & Optimization
  • Development and refinement of Written Supervisory Procedures
  • Risk-based WSP mapping to actual processes and staff roles
  • Integration with operational procedures and internal controls
  • Regulatory alignment and exam readiness

Surveillance, AML & Supervisory Controls
  • Development and testing of AML programs, surveillance rules, and exception reporting
  • FINRA 3310 compliance
  • Trade, communications, and conduct surveillance
  • Supervisory system gap analysis and tuning DTCC/OCC Membership
  • Application Submission
  • FINRA Inquiry Response Coordination
  • System Testing and Demo Preparation

Regulatory Expertise That Keeps You Exam-Ready and Operationally Aligned.

Customized WSP Development – Authors or updates written supervisory procedures tailored to your firm’s structure and regulatory exposure.

Ongoing Compliance Support – Provides recurring services for rule change tracking, filings, surveillance reviews, and audit prep.

Regulatory Expertise – Led by former regulators and broker-dealer executives, ensuring practical and exam-ready solutions.

Internal Control Testing – Evaluate supervisory effectiveness and support FINRA 3120/3130 attestation efforts.

Regulatory Change Management – Assists with implementing and documenting responses to new rules (e.g., T+1, Treasury Clearing, CAT).

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