FINRA Compliance Consulting Services | Financial Regulatory Compliance
Founded 1997 · in our 30th year11,000+ enterprise engagementsMicrosoft Press bestselling author
EPC Group provides FINRA compliance consulting for broker-dealers and financial services firms. We conduct compliance gap assessments, implement FINRA-required recordkeeping systems, configure supervision controls, and produce audit-ready documentation — using Microsoft Purview, Defender for Office 365, and Exchange Online as the compliance technology stack.
Last updated by Errin O'Connor, Founder & Chief AI Architect, EPC Group
Comprehensive compliance solutions for broker-dealers and financial services firms. Expert assessments, recordkeeping systems, supervision solutions, and regulatory reporting with Microsoft technology expertise.
End-to-end compliance services from assessment through implementation and ongoing monitoring for broker-dealers and financial services firms.
Comprehensive evaluation of your firm's compliance posture against FINRA rules and SEC regulations to identify gaps and risks.
Implement compliant recordkeeping systems meeting FINRA Rule 4511, SEC 17a-4, and electronic storage requirements.
Design and implement supervision and surveillance systems meeting FINRA Rule 3110 requirements for registered representatives.
Streamline regulatory reporting and filing requirements with automated systems and Microsoft Power Platform solutions.
Our consulting services ensure compliance with critical FINRA rules and SEC regulations affecting broker-dealer operations.
Requirements for making and preserving books, accounts, records, and memoranda in compliance with SEC and FINRA rules.
Establishment, maintenance, and enforcement of written supervisory procedures and supervision systems.
Testing and verification procedures to determine that supervisory procedures are reasonably designed.
Business continuity plans to address significant business disruptions and maintain compliance.
Anti-money laundering program requirements including customer identification and suspicious activity monitoring.
Reasonable basis to believe recommendations are suitable based on customer investment profile.
Leverage Microsoft's enterprise compliance platform to meet FINRA and SEC recordkeeping, supervision, and data governance requirements.
Comprehensive data governance and compliance solution for managing sensitive financial data and meeting regulatory requirements.
Enterprise compliance features including immutable storage, retention policies, and communication compliance for FINRA requirements.
Immutable blob storage and compliant archival solutions meeting SEC 17a-4 and FINRA electronic storage requirements.
Custom compliance applications, dashboards, and automated workflows for regulatory reporting and supervision.
Our structured methodology ensures a clear path to FINRA compliance with minimal disruption to your business operations.
Evaluate your current compliance environment, identify regulatory obligations, and define the scope of the engagement.
Detailed analysis of policies, procedures, and systems against FINRA rules and SEC requirements.
Develop prioritized remediation roadmap with timelines, resource requirements, and technology recommendations.
Execute remediation activities including technology deployment, policy updates, and training programs.
Continuous monitoring, periodic reviews, and regulatory update services to maintain compliance posture.
Comprehensive documentation and controls for regulatory examinations
WORM-compliant recordkeeping meeting SEC and FINRA requirements
Proven expertise serving financial services firms
Trusted by leading financial institutions
We understand the unique compliance challenges facing different types of financial services firms.
Full-service and discount broker-dealers requiring comprehensive FINRA compliance programs.
SEC and state-registered advisers seeking integrated compliance and recordkeeping solutions.
Investment banking operations requiring supervisory systems and regulatory reporting.
Alternative investment managers with SEC registration and compliance requirements.
Dual-registered entities requiring coordination of FINRA and state insurance compliance.
Digital investment platforms and robo-advisors requiring modern compliance infrastructure.
With deep financial services expertise and Microsoft technology leadership, we deliver practical compliance solutions for broker-dealers.
Deep understanding of FINRA rules, SEC regulations, and the unique challenges facing broker-dealers and financial services firms.
Microsoft Gold Partner with expertise in Purview, Microsoft 365 Compliance, Azure, and Power Platform for financial compliance.
Solutions designed to withstand FINRA and SEC examinations with comprehensive documentation and audit trails.
Team of compliance professionals with direct experience in broker-dealer operations and regulatory examinations.
Schedule a complimentary consultation with our FINRA compliance experts to assess your current posture and develop a roadmap for sustainable compliance.
Free consultation. No obligation. Response within 24 hours.
Explore our other compliance and regulatory consulting services.
EPC Group supports HIPAA (healthcare), SOC 2 Type II (financial services), FedRAMP Moderate/High (government), CMMC Level 2 (defense), GDPR (EU), CCPA (California), FERPA (education), FINRA (financial), and the EU AI Act. Our compliance implementations are built on the Microsoft compliance toolkit.
EPC Group conducts a compliance gap assessment, maps your current state to target framework requirements, implements technical controls using Microsoft Purview/Defender/Entra ID, documents evidence for auditors, and provides ongoing monitoring and remediation support.
Compliance consulting is scoped to framework complexity: a single-framework implementation (e.g., SOC 2) or a multi-framework environment (HIPAA + SOC 2 + GDPR). Ongoing compliance monitoring is a monthly retainer.
Timeline depends on your current state and target framework. SOC 2 readiness typically takes 3-6 months, HIPAA compliance takes 4-8 months, FedRAMP-aligned consulting expertise work takes 9-18 months, and CMMC Level 2 certification takes 6-12 months. EPC Group provides detailed timelines after gap assessment.
EPC Group offers FINRA compliance consulting for broker-dealers and financial services firms. Our services include:
We utilize Microsoft Purview, Defender for Office 365, and Exchange Online as our compliance technology stack.
EPC Group covers the four core areas of FINRA compliance that broker-dealers must address for examination readiness.
EPC Group conducts a FINRA compliance gap assessment of your current systems and controls. We compare your existing state to FINRA rule requirements and identify any gaps.
After this analysis, our team develops a prioritized remediation roadmap.
FINRA Rule 17a-4 requires broker-dealers to keep certain records in a compliant format for specific time periods. EPC Group helps organizations meet these requirements by configuring:
FINRA Rule 3110 requires firms to establish and maintain written supervisory procedures (WSPs) and a supervision system. EPC Group configures technical supervision controls.
EPC Group builds Power BI dashboards for FINRA regulatory reporting — trade reporting, customer complaint tracking, and annual review reporting.
FINRA compliance consulting includes several key services. These services are:
We utilize Microsoft Purview, Exchange Online, and Power BI as our technology stack.
FINRA Rule 17a-4 requires broker-dealers to maintain certain books and records. These records must be stored in a non-rewritable and non-erasable format, known as WORM-compliant. The retention periods usually vary from 3 to 6 years, based on the type of record.
When configured correctly, Microsoft Exchange Online Archiving meets these requirements.
FINRA Rule 3110 mandates that broker-dealers create and uphold a supervisory system for every registered person's activities. This system must include:
A FINRA compliance gap assessment typically lasts 3 to 4 weeks. The full technical remediation process, which includes recordkeeping and supervision systems, usually takes 3 to 6 months. The exact time frame varies based on the firm's current situation.
EPC Group provides audit-ready documentation packages at the end of every engagement.
Talk to an EPC Group compliance architect about your FINRA obligations. Call (888) 381-9725 or request a 30-minute discovery call.
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