Compliance Workflows

Efficiently Managing Back Office Compliance

Compliance and back office workflows have become increasingly complex. Especially in a world of outsourced functionality, it can be a struggle to maintain efficiencies while reconciling multiple systems. A simplified workflow that minimizes steps without sacrificing the accuracy of critical functions is essential in order to minimize risk, increase efficiencies, lower operational costs, and support a scaled growth phase after launch.

Over the past 10 years our efficient workflows that meet all regulatory compliance requirements (e.g., SEC, FINRA, CFTC, NFA and CFPB) have systematically decisioned and onboarded more than 1 million new user accounts with more than 50 million financial transactions.

We help our clients develop and deploy a variety of systems, processes and workflows:

• Customer onboarding (e.g., KYC/CIP, account applications review, and due diligence)
• Back office operations (e.g., application processing, personal data gathering, AML compliance, funds transfer, payments processing and data management)
• Surveillance, anti-manipulation and suspicious activity monitoring
• Marketing and advertising compliance (e.g., review of strategic plans, review of online and offline communications)
• Integration of affiliate marketing programs and strategic partners

Compliance Regulations Insights on Compliance Workflows

• Gamification and Marketing Compliance
• Non-compliance with SEC Regulation SCI
• Cryptocurrency Laws and State Money Transmitter Regulation
• Super Account Administrator Role as defined by the FINRA
• Outsourcing is a Cost-Effective Way to Meet CCO Staffing Requirements