📋 FINRA Audit Preparation Overview
Turn audit anxiety into audit confidence.
FINRA audits are rigorous, high-stakes examinations of your firm’s operations, financials, and compliance posture. Our audit prep service ensures you're not just ready—you’re resilient. We help you anticipate examiner focus areas, organize documentation, and align your internal practices with FINRA’s evolving standards.
🔧 What We Deliver
- Pre-Audit Risk Assessment
We identify gaps in supervisory procedures, recordkeeping, digital signature controls, and financial reporting—before FINRA does. - Document Readiness & Organization
From customer account records to AML policies, we ensure your materials are complete, current, and audit-ready. - Policy & Procedure Review
We align your Written Supervisory Procedures (WSPs) with FINRA rules, including recent updates like Regulatory Notice 22-18 on digital signature fraud. - FinOp & Compliance Support
We verify that your Financial and Operations Principal (FinOp) is properly designated and that net capital requirements are being met. - Audit Simulation & Coaching
We walk your team through mock audits, examiner-style questioning, and response strategies to reduce stress and improve outcomes.
🎯 Why It Matters
- Avoid Penalties: Missed deadlines or incomplete filings can trigger fines and reputational damage.
- Stay Ahead of Trends: FINRA’s focus shifts—recent audits emphasize digital signature integrity and AML enforcement.
- Protect Your Reputation: A clean audit builds client trust and strengthens your market position.
- Support Business Continuity: Proactive prep minimizes disruption and ensures operational resilience.
