Your compliance program shouldn't be a guessing game.
Most compliance checklists are built under pressure and never measured against the full picture. Seraphim exists to close that gap — founded by a product leader who spent more than two decades at FINRA turning regulatory complexity into systems that work. Now that discipline works for you: a complete, firm-tailored compliance checklist, and a clear view of what your current program may be missing.
Reimagining the operational layer of compliance.
Designed to complement, not replace, your compliance ecosystem.
What We Do
We help broker-dealers, joint broker-dealer/investment adviser firms, compliance teams, and compliance service providers improve the way compliance work gets organized, documented, and executed.
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Our work focuses on the operational layer of compliance: workflows, ownership, documentation, evidence organization, audit readiness, recurring obligations, and process consistency.
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We are designed to complement existing compliance consultants, outsourced CCOs, legal counsel, RegTech vendors, and internal compliance teams.
Who We Support
Our primary focus is Chief Compliance Officers at small and mid-size broker-dealers — the professionals asked to manage the obligations of a large firm with the resources of a small one.
We also partner with the professionals who support them: compliance consultants, outsourced CCO providers, and counsel who want a rigorous, structured foundation under their client work.​
