Stay Compliant with Rubicon Consulting

FinOp Services

Staying compliant with the FINRA and the SEC is a primary concern for broker/dealers and part of the FinOp services provided by RCG. Timely financial filings, annual audits, FINRA examinations, and the preparation of regulatory reports are just a few of the many functions that need attention on a regular basis.

Anti-Money Laundering

Gaining an unbiased assessment of how your firm’s anti-money laundering compliance program meets AML mandates—and of where you stand in regard to money laundering risk—requires regular, comprehensive AML program testing.

Frequently Asked Questions

Supplied are answers to questions we frequently receive about broker/dealer financial regulatory compliance, FINRA and SEC regulations, and Series 27 FinOp services. If your question does not appear or the answer is not satisfactory, please contact us.

Financial and Operations Principal

Headquartered in Scottsdale, Arizona, (a suburb of Phoenix), Rubicon Consulting Group (RCG) was founded in 2010 by Edward Smith, a professional Financial and Operations Principal (FinOp) leader who has been working in the securities industry since 1999.

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.

Learn More…

✓ Expert FinOp Services for Broker/Dealers

✓ Anti-Money Laundering Program Testing

✓ Ensure FINRA & SEC Compliance

Are you compliant?

(415) 246-7502