Our Services
Compliance Program Assessment
A firm-tailored CCO compliance checklist built from our proprietary broker-dealer obligations framework, plus a line-by-line gap analysis of your existing program and a findings walkthrough with your team.
Most compliance checklists are built under pressure and never measured against the full picture. The assessment shows you every obligation that applies to your firm — and only your firm — with rule citations, review frequencies, expected evidence, and responsible roles, then shows exactly where your current program is covered, partial, or missing. You get the complete picture on your timeline, not the calendar's. We're taking a limited number of founding engagements while we complete our platform build — reach out to check current availability.
Annual Update Subscription
Quarterly updates to your firm-tailored checklist as rules and guidance evolve — each change traced to its public regulatory source — plus an annual refresh of your gap analysis. Available to firms that have completed an Assessment.
A checklist is a snapshot; obligations are a moving target. Subscribers never have to wonder whether January's checklist is still true in September — we tell you which of your items changed, why, and what to do about it, so your compliance record stays current and stays yours. Founding Assessment clients lock in a discounted first-year rate.
Compliance Evidence and Audit-Readiness Review
A deeper pass on your supervisory review evidence specifically, beyond what the Assessment's gap analysis surfaces: an obligation-by-obligation look at what exists, where it lives, and whether it captures who reviewed, what, when, what was found, and what was done. Includes a documentation template your firm can adopt.
Performing a review and being able to prove you performed it are two different things — and the difference is what an examination tests. This review shows you exactly how demonstrable your program is today, flags where production would be slow or uncertain, and gives you the template to close the gap, before the request letter arrives.
Compliance Operations Workflow Review
A structured review of how compliance work actually gets done at your firm — attestations, reviews, sign-offs, escalations, calendar obligations — with practical recommendations for closing the distance between what your written procedures say and what your calendar delivers.
Written procedures describe the program; workflow determines whether it happens. This review finds the tasks with no owner, the deadlines with no trigger, and the single points of dependency — the quiet operational gaps that written-procedure reviews never surface.
Partner Support for Compliance Consultants & Outsourced CCOs
Structured guidance grounded in our obligations framework, for professionals who support multiple broker-dealer clients — as a completeness benchmark, an intake accelerator, or a structured second reference behind your own engagements.
Your clients trust your judgment; our framework gives that judgment a rigorous, current foundation to draw on — so every engagement you run benefits from a complete obligations picture, without you having to rebuild it firm by firm. We work alongside consultants, not in competition with them.
Important Notice
Seraphim LLC provides compliance consulting and documentation services. We are not a law firm and do not provide legal advice; nothing in our deliverables or communications should be construed as legal advice or a legal opinion. Seraphim does not serve as any firm's Chief Compliance Officer, does not perform supervisory functions, and does not guarantee any regulatory outcome, examination result, or finding. Our checklists and reports are built from publicly available regulatory sources and are tools to support — not substitute for — your firm's own compliance judgment, written supervisory procedures, and designated principals. Seraphim LLC is not affiliated with or endorsed by FINRA or any regulator. Firms should consult qualified legal counsel on questions of law or regulatory interpretation.