Stay Compliant with Rubicon Consulting
Stay Compliant with Rubicon Consulting
Dedicated FinOp Principal Coast to Coast
When it comes to securities businesses, broker/dealers need to feel confident that the reports they must file are expertly prepared by a licensed Series 27 or Series 28 FinOp and filed in a timely manner.
Enter Rubicon Consulting Group
Compliance with the FINRA and the SEC is of paramount importance to broker/dealers. While larger firms can easily absorb the cost of in-house FinOp professional staffing, smaller broker/dealers need an affordable way to replicate these expert FinOp services.
With coverage on the East and West coasts and more than two decades of industry experience, Rubicon Consulting Group offers cost-effective solutions to broker/dealer workflow requirements and all-inclusive FinOp services. Their consultants will customize a program to fit your company’s specific needs. Whether you’re in San Francisco, New York, Chicago, Miami, or Phoenix, Rubicon Consulting Group will provide a talented specialist who will analyze your existing financials, and ascertain the most appropriate course or action to ensure proper compliance.
✓ Expert FinOp Services for Broker/Dealers
✓ Anti-Money Laundering Program Testing
✓ Ensure FINRA & SEC Compliance
Are you compliant?