Services
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Integrated Compliance Solutions for Financial Firms
Frontier Compliance delivers a full suite of services designed to fulfill the ongoing obligations of RIAs, BDs, and Private Funds. We operate as an extension of your team, offering everything from one-time projects to fully outsourced compliance departments.
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Service Categories
RIA & Broker-Dealer Formation
- SEC RIA registration assistance.
- FINRA New Membership Application (NMA) and Continuing Membership Application (CMA) management.
- State registrations and infrastructure development (WSPs, BCP, cybersecurity program).
- Facilitation of contractual relationships for required systems (email retention, off-site storage).
Annual & Supervisory Testing
- FINRA Rule 3310 AML Program Independent Test:Annual risk-based review of your AML program.
- FINRA Rule 3120 Supervisory Control Testing:Assessing the effectiveness of your firm’s supervisory system.
- SEC Rule 206(4)-7 Annual Compliance Program Review:Comprehensive testing and report.
Anti-Money Laundering (AML) Services (Outsourced)
- Independent AML Testing:Detect and correct weaknesses in your AML compliance program.
- Know Your Customer (KYC) & Customer Identification Program (CIP):Development and ongoing administration.
- Enhanced Due Diligence (EDD):For higher-risk customers, including PEPs.
- Outsourced AML Function:Act as your dedicated AML compliance team, including transaction monitoring, AML Red Flag Monitoring and SAR filing support.
Project-Based & Examination Support
- Regulatory Examination Support:Front-to-back assistance with SEC, FINRA, or state exam requests.
- Mock Regulatory Exams & Gap Analysis:Proactive identification of deficiencies before regulators arrive.
- Compliance Manuals & WSPs:Drafting, updating, and reviewing Written Supervisory Procedures, AML policies, and compliance manuals.
- Operations & Compliance Due Diligence Reviews.
Corporate & Bookkeeping Services
- Company Formation:Entity setup and structuring.
- Registered Agent Services:For compliance with state filing requirements.
- Bookkeeping & Financial Operations:Accounts payable/receivable, reconciliations, financial statement preparation, and outsourced CFO support.
- Website Creation and Support: We provide website development and ongoing maintenance.
Compliance Program Management (Ongoing)
- Outsourced CCO Services:For firms that meet the right profile, we function as your compliance staff.
- Code of Ethics & Personal Account Trading Monitoring.
- Advertising & Sales Literature Review.
- Annual Compliance Meeting & Training (including AML training).
- Annual Questionnaire & Disclosures Management.
- Email Review & Electronic Communications Monitoring.
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