Review of Enterprise Risk Management Program Control Testing Control Execution Enterprise Governance Development of Risk Intelligence Program Supervisory Oversight Program Business, Sales and Product Program Development

Designing rule implementation protocols. Developing clear policies and procedures customized to your business. Design control framework for assessing sustainability of controls and procedures. Design and development of Compliance. Management protocols and tools to meet regulatory expectations. Providing expert advice and guidance on industry best practices in addressing existing and new regulatory requirements. Development and implementation of Corporate Training Program. Managing FINRA and SEC Registration requirements, including change in business and registration oversight programs. Communication with the Public Supervisory Program, including marketing materials, social media, electronic communication and physical correspondence

Expertise in effective project management techniques to meet regulatory requirements. Implementation of risk management protocols for effective escalation of issues to senior management and risk mitigation, including regulatory reporting. Execution of first level reviews and tasks in a cost effective and efficient manner. Critical analysis of process execution with the objective of identifying efficiencies. Provide training and development to staff, allowing for ease of hand off when necessary. Ability to manage and accept any project around a broker dealer practice regardless of scale/size to meet stated goals. Performing branch review including design of testing protocols.

Drafting of policies and procedures, including Written Supervisory Procedures and desktop procedures, customized to business/supervisory and compliance activities Policies and procedures review discipline Policies and procedures control mapping to ensure sustainability and control effectiveness Training provided to impacted staff Development of communication strategy/protocol for adequate dissemination of procedures

Define detailed task and dependencies plan for remediation projects Ability to manage all types of remediations regardless of size, scope and time to complete. Establishment of governance structure and disciplined approach to ensure successful completion of project. Provide analytics that will focus on root cause and lessons learned Develop sustainable control framework to avoid similar issues from arising again

Cross Border Business evaluation to pin point risks, challenges and possible areas of business opportunities. Development of Cross border business program, including permissible activities and adequate governance tailored to specific business. Review, develop and implement cross border policies and procedures that take into account travel, presence standards, in country rules of conduct. Cross Border business on-boarding control development. Cross border business supervision including high impact jurisdictional monitoring.

Review and evaluation of Supervisory and Surveillance tools. Provide guidance risk based supervisory strategies. Perform stress test on supervisory oversight tools. Executing supervisory reviews, including documentation and resolution of possible exceptions. Governance strategy for supervisory organization.

Development of AML policies and procedures, including CIP, EMDD, Sanctions, and SAR filings (among others) customized to business model and risk appetite. Performing AML reviews and AML controls effectiveness, including client on boarding , investigations and recommendations. Deployment of and performing AML training. Guidance on industry best practices regarding AML. Oversight tool review and recommendation, including assistance on the development of surveillance logics. AML monitoring/investigation outsourcing.

Development of Compliance and Supervisory Programs consistent with line of defense hierarchy (1st Line vs. 2nd Line vs. 3rd Line of Defense), including clear definition of roles and responsibility. Development of risk based testing protocols and routines. Performance of internal reviews and testing protocols. Assistance in exam/testing preparation including regulatory exam readiness. Assistance in regulatory exam.

Development of Investment Advisory Compliance Program and Supervisory Program. Review, development and implementation of Investment Advisory Controls, policies and procedures. Conflict of interest evaluation, including pricing, personnel and business concerns that may present conflict of interest challenges. Performing oversight functions, including sales practices supervision.