Leading outsourcing for broker-dealers
Compliance Consulting
Instant access to deep expertise for compliance.
Specialized expertise without the expense of hiring in-house..
Industry-wide best practices that you can trust.
Compliance services are our specialty.
Broker Dealer Compliance services are our specialty. From compiling
confidential internal compliance risk audits to creating in-house
compliance control processes, JSM is able to support and enable your
mission critical compliance functions:
What we can do for you
If Needed
Full CCO Outsource
3120/3130
Supervisory Controls Assessment
AML Audit
Independent Testing
AML Procedures
Annual Compliance Meetings
Books & Records
Business Continuity Plan
Regulation Best Interest
(Reg. BI) & Form CRS
CE Plan
CFTC/NFA filings
Customizable to Firm
Compliance Procedures
Customer Compliant
Review and Filing
Cycle Exam Assistance
FINCEN
System Establishment & Review
FINRA Inquiry Assistance
Firm Gateway Management
Regulatory Filings
Attestation Requirement & Review
Registered Rep
Risk Assessment
System Development – Compliance
Unlimited Access to Consulting Staff
Written Supervisory Procedures
Looking for more details?
Call, email or leave a message telling us about what you're looking for.
We'll reach back to schedule a consultation to see how we can help you.
We'll reach back to schedule a consultation to see how we can help you.
Testimonials