Expert FINRA Compliance Consulting: Stay Ahead of Regulators

At Cyber Husky, our FINRA compliance consulting services are designed for brokerages and stockbrokers to help them maintain strict regulatory oversight. Compliance is overseen by the agency to help firms and brokers avoid fines, suspensions and even being barred.

We offer more than managed IT services for financial firms – we keep you compliant.

Why FINRA Compliance Is Non-Negotiable for Your Firm

Regulations are in place to protect investors and firms that sell:

Bonds
Stocks
Securities
Mutual funds

As FINRA compliance consultants, we know that regulations are in place to protect public investors from unscrupulous firms. You cannot negotiate with regulators. Failure to comply can lead to:

Substantial fines
Loss of client trust
Business activity suspension
Barring from securities (sometimes for life)
Personal liability

Investors deserve protections that go beyond our vulnerability management services. FINRA fills this void by putting strict operational requirements in place that cover everything from cybersecurity to anti-money laundering and reporting.

What Our FINRA Compliance Consultants Do

Your firm should focus on client satisfaction while we handle the regulations. Our FINRA compliance services include, but are not limited to:

Gap analysis & readiness assessment

Outsource FINRA compliance services begin with a comprehensive evaluation of your current compliance posture against FINRA requirements. This includes:

Reviews of policies, procedures and controls
Identify vulnerabilities and areas of non-compliance
Assessments of supervisory systems and written supervisory procedures (WSPs)
Evaluating technology systems and data management practices
Benchmarking against industry best practices
Providing a prioritized remediation roadmap

This assessment helps firms understand their risk exposure before FINRA examinations occur.

Policy & procedure development

FINRA compliance consultants create frameworks for your firm to follow, including:

Written Supervisory Procedures (WSPs)
Anti-Money Laundering (AML) programs
Communication and advertising review procedures
Suitability and best interest standards documentation
Books and records retention policies
Cybersecurity and data protection protocols
Business continuity plans

FINRA compliance consulting ensures policies are practical, enforceable and scalable.

Ongoing monitoring & audits

Our FINRA data compliance services provide oversight to identify issues that can become violations, such as:

Transaction surveillance
Communications
Advertising

We prepare you for the time between examination cycles to strengthen compliance.

Training & culture build-out

FINRA compliance consultants offer recommendations for training, culture and even MDR services. We focus heavily on:

Training execs and supervisors
Onboarding programs
Annual compliance
Rule changes and updates

We help you create a culture that focuses on compliance first.

Which Firms Benefit from FINRA Consulting Services?

Every firm should use FINRA compliance services, including:

small- and mid-sized brokers, startups, growing firms, broker-dealers, fintechs and more.

How to Choose the Right FINRA Compliance Consultant

Work with a FINRA compliance consulting firm that has a strong:

Regulatory background
Track record
Industry specialization

Review each candidate to better understand their communication style, professional certs, responsiveness, terms and deliverables. Performing your due diligence will reduce the risk of working with a consultant who doesn’t meet your needs.

Typical Cost Structure for FINRA Compliance Consulting

Every firm is unique. We structure our services to meet your individual needs.

Common FINRA Compliance Risks & How We Help You Mitigate Them

Firms often make these mistakes when it comes to compliance:

Inadequate data retention policies. Firms must store electronic records in WORM for a specific period of time. We implement compliant data storage and archiving systems to meet these requirements.
Weak cybersecurity controls. Client data must be protected. Gaps in access controls and encryption put firms at risk of breaches and fines. FINRA compliance services use layered cybersecurity defenses to ensure compliance.
Lack of electronic communication supervision. Unmonitored communication creates supervisory violations. We set up compliant communication workflows to help you document and meet FINRA cybersecurity requirements.

Why Cyber Husky Stands Out as a FINRA Compliance Partner

Here’s why clients trust us to help them stay compliant:

End-to-end solutions. Our services go beyond consults. We design, implement and manage secure IT environments that support business continuity and data retention.
Expertise in FINRA compliance services. Our team works with financial institutions across the country.
Personalized, scalable approach. We tailor every solution to fit your regulatory needs and operational goals.
Continuous surveillance and support. We monitor your systems and network 24/7 for threats and help you stay compliant without stress.

Get Started Today — Your First Step Toward FINRA Compliance

Ready to strengthen your compliance posture?
Our team of FINRA compliance consultants will assess your current systems, identify gaps and implement tailored solutions for your firm.

FAQs

What security controls do you use to protect non-public personal information?

Our FINRA audit and monitoring services follow industry standards through the use of:

Multi-Factor Authentication (MFA) for all system access, especially access to NPI.
End-to-end encryption of NPI both in transit (using TLS) and at rest (on all storage volumes and endpoints).
Network segmentation of systems that contain NPI to limit the scope of any potential breach.
Vulnerability scans and patch management to address identified system weaknesses.

Cyber Husky serves as your FINRA compliance partner to help you meet industry requirements.

Do you create disaster recovery plans?

Yes. Our FINRA compliance consulting firm ensures business continuity through robust disaster recovery plans. As trusted MSSP providers for hospitals and financial institutions, we:

Develop and maintain disaster recovery plans that include time and point objectives
Run monthly backup tests and annual disaster recovery plan tests
Offer rapid response and assistance in the event of data loss or failure
Document and review your strategies regularly

What is your process for patch management?

As FINRA compliance consultants, we manage updates for apps and operating systems. Our process includes:

Automated patch rollout with oversight to ensure deployment is successful
Pre-deployment tests to reduce risks
Regular reports on patch compliance

How do you ensure data integrity and prevent unauthorized access?

User management is at the core of our FINRA compliance consulting. We incorporate:

Onboarding and offboarding procedures
Integration with Microsoft Entra ID for access control
Multi-factor authentication (MFA)
Access reviews and compliance reports

Cloud management and continuous monitoring ensure data integrity.

Can you work with our IT team?

Yes. Cyber Husky is more than just a full-service IT provider. We work as an extension of your team. Our FINRA data compliance services help you meet requirements without compromising your current IT setup.