Compliance & Regulatory
We support firms in building and maintaining robust supervisory systems, from drafting and updating WSPs and SOPs, to designing effective compliance checks and supervisory controls. Our team guides clients through regulatory exams and audits and builds systems to ensure accurate, timely reporting for CAT, CAIS, and TRF.
Supervisory Systems
WSPs and SOPs for daily use
Exam Management
Prep, response, remediation
Reporting
CAT/CAIS/TRF frameworks
Monitoring
Continuous testing programs
Trading & Brokerage
With deep capital markets expertise, we support the full trade lifecycle for broker-dealers — across share-based and notional-based activity in equities, options, and fixed income. From execution and routing to clearing and post-trade risk, we deliver system design, execution protocols, and custom controls to manage exposure and drive performance.
Execution
Best execution and routing
Operations
Clearing and settlement
Risk Controls
Post-trade management
Reconciliation
P&L and exceptions
Financial Engineering & Risk
We model market, credit, and operational risk in real time using VaR, ETL, and high-performance compute for rapid stress testing. Services include portfolio margin analysis, structured product design, NSCC/DTC exposure management, and portfolio construction with hedging strategies — all optimized for risk-adjusted performance and capital efficiency.
VaR & ETL
Portfolio-calibrated frameworks
Stress Testing
Historical + hypothetical
Margin
Portfolio optimization
Exposure
NSCC/DTC monitoring
Audit & Financial Controls
We prep firms for FINRA and SEC audits, perform mock exams to mitigate risks and avoid findings. Strengthening internal controls over compliance (ICOC) enhances financial reporting readiness, and provides hands-on FINOP consulting. We also support SOC2 and AML reviews.
Exam Prep
FINRA/SEC mock audits
Controls
ICOC design and testing
Financial Ops
FINOP, net capital
Assessments
SOC2, AML programs
Services Management & Ops
We design and optimize service workflows, implement best-practice frameworks, and integrate tools to streamline delivery. Our support spans change management, KPI-driven performance tracking and incident response planning, all underpinned by scalable SOPs and targeted team training.
Process Design
Workflow mapping and optimization
Metrics
KPIs and live dashboards
Change Mgmt
Frameworks and playbooks
Training
SOPs and team enablement
Technology & Analytics
We modernize tech stacks with fit-for-purpose tools — from surveillance and reporting platforms to workflow automation. Our approach includes mapping operational processes, optimizing data structures, and embedding telemetry to track system health and performance. With deep informatics and analytics expertise, we unlock insights from trade and compliance data to power smarter decisions and scalable oversight.
Modernization
Tech stack assessment + roadmaps
Surveillance
Platform design + implementation
Data
Architecture + telemetry
Analytics
Dashboards + automated reporting