FINOP Consulting Services

FINOPs (Financial and Operations Principals) are crucial for ensuring smooth financial operations and regulatory compliance of broker-dealers.

FINOP consulting services offer significant advantages to broker-dealers, giving access to specialized expertise and efficient management of financial operations to mitigate regulatory risk. 

FINOP Consulting Services by InnReg

InnReg offers an all-inclusive full range of FINOP services equipping your broker-dealer with appropriate financial management, compliance, and risk management capabilities, among others.

Over the past ten years, InnReg has become a leader in the FinOp outsourcing industry. We have supported numerous broker-dealers engaged in various types of securities transactions.

This exposure to an extensive diversity of broker-dealers allows InnReg to offer expert guidance to our clients as they explore growth opportunities and expand into new business lines.

FINOP Consulting Services - InnReg Expertise and Experience

We provide reliable, professional FINOP services, and demonstrate the following key competencies:

Experience and
knowledge of the
broker-dealer industry
Expertise in fintech and broker-dealer regulatory requirements
Knowledge of the proper custody of the firm’s books and records

InnReg is a team of over 30 Fintech Regulatory Compliance and Innovation Consulting experts helping fintechs succeed in highly regulated markets since 2013, globally. InnReg provides fintech compliance and operations consulting and outsourced FINOP services to broker-dealers and other sectors. We are especially effective in helping clients launch innovative fintech products and services.

Read about the InnReg team’s expertise and experience >

Our services range from short-term assistance, such as a temporary FINOP consulting, to long-term relationships in which we work with firms on an ongoing basis.

As an experienced provider of FINOP Services, InnReg supports your fintech in a variety of ways:

Broker-Dealer Compliance
InnReg provides services to help broker-dealers meet FINRA compliance requirements, including developing and implementing compliance programs, training, and ongoing compliance support.
Outsourced Compliance Management 
We offer services to support innovative visionaries who disrupt the market with creative products and services. Our clients can launch faster and smarter as we take ownership of regulatory requirements. It allows fintech leadership to focus on product development, growth strategies, and profit-maximizing.

Compliance Workflows

We help clients develop and deploy systems, processes, and workflows for customer onboarding, back-office operations, surveillance, anti-manipulation and suspicious activity monitoring, and marketing and advertising compliance.
Outsourced CCO Services We offer outsourced fractional Chief Compliance Officer services. For startups, this service is critical for registration and licensing support, compliance program setup and launch. For fintechs of any size, it covers day-to-day compliance management, personnel training and monitoring, marketing and advertising compliance, suspicious activity monitoring, and regulatory inquiry and investigation support.
Crypto/Blockchain Consulting Services InnReg provides regulatory registration and licensing services for exchanges, intermediaries, and advisors in the crypto/blockchain space. We also offer executive-level assistance for security token broker-dealers and exchanges, including CCO (Chief Compliance Officer), Registered Principals (Series 24 license), and FINOP (Financial Operations Principal with Series 27 license).

Contact us to learn how InnReg’s affordable and scalable FINOP Consulting Services can accommodate the growth and complexity of your fintech broker-dealer operations.

The specific FINOP services package is tailored to individual client needs, taking into account internal staffing, existing capabilities, and growth targets.

We provide FINOP consulting services to broker-dealers of various sizes: from startups to large organizations.

Would you like to understand the role, benefits, challenges, and integration strategies of outsourced FINOP services?

Read our practical decision-making support guide for founders and executives “Outsourced FINOP: Decision Guide on FINOP Outsourcing for Your Fintech.”

Who Needs FINOP Services?

The role of a Financial and Operations Principal (FINOP) is often associated with broker-dealers due to specific mandatory regulatory requirements by FINRA.

However, the expertise of these professionals is also applicable to any fintech company that deals with financial transactions as Outsourced CFO Services (scope similar to FINOP). FINOP is consistently present in fintech industries such as payment processors and gateways, peer-to-peer lending platforms, cryptocurrency exchanges, robo-advisors, and insurtech.

Should You Outsource Your FINOP Position?

Yes. Outsourced FINOPs offer valuable expertise and experience gained from diverse fintechs at a fraction of the cost of in-house experts. Such outsourced professionals are equipped with their firm’s collective knowledge and resources. By outsourcing FINOP services, fintechs can focus on their core business while their financial operations are managed efficiently and comply with all regulations.

To help you decide whether FINOP consulting is right for your fintech, we’ve created a comprehensive Q&A Guide of essential considerations, pros and cons, and more: Outsourced FINOP: Decision Guide on FINOP Outsourcing for Your Fintech.


Examples of FINOP Consulting Services in Support of a Broker-Dealer

Here are specific examples of critical FINOP services aimed at fulfilling regulatory requirements for broker-dealers:

  • Calculation of net capital at least monthly, including preparing schedules of non-allowable assets, aggregate indebtedness, and “haircut” securities analyses.
  • Annual preparation of the FOCUS Part I report (Schedule I).
  • Monthly or quarterly preparation of the FOCUS Part II (or IIA) report.
  • Preparation of the FOCUS Part III report (annual audited report).
  • Monthly or quarterly preparation of the Supplemental Statement of Income report.
  • Monthly or quarterly preparation submission of the Form Custody for Broker-Dealers report.
  • Customer reserve computations (for carrying broker-dealers)
  • Assistance in preparing for FINRA and other regulatory examinations
  • Periodic review of record-keeping procedures
  • Ongoing service as liaison with the audit firm

Are you a fintech seeking help with financial transactions, managing financial risks, or complying with financial regulations?

To understand how you will benefit from the expertise of InnReg’s FINOP consulting teams, call us now for a free consultation at 305-908-1160 or email us at

Examples of Compliance Regulation Insights for Broker-Dealers by InnReg Experts

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