ADVISORY & OUTSOURCED COMPLIANCE SERVICES

Expertise on Demand. Confidence Across Your Entire Compliance Framework. Looking for dependable, ongoing compliance support from industry specialists who understand the realities of modern trading, regulatory scrutiny, and operational complexity? Softek delivers outsourced compliance and advisory solutions built to strengthen governance, reduce risk, and keep your firm ahead of regulatory expectations.

POWERING COMPLIANCE FOR TODAY’S FINANCIAL INSTITUTIONS

Softek Compliance supports a wide range of organizations, including banks, broker‑dealers, swap dealers, investment advisors, hedge funds, asset managers, CTAs, CPOs, commercial end‑users, and service providers. Our advisory and outsourcing teams draw from decades of hands‑on experience inside the types of businesses we serve. We’ve built and managed compliance programs for complex trading desks, derivatives platforms, multi‑asset firms, and high‑velocity execution environments—so we know what it takes to design controls that work in the real world.

From policies and registration to surveillance, reporting, training, and operational oversight, Softek provides the breadth and depth to support your compliance obligations end‑to‑end.

CONTROL AND CONFIGURE

Unlike generic consulting firms, Softek understands the nuances of trade flows, reporting structures, and supervisory frameworks across the markets. We leverage technology‑driven processes and industry‑preferred methodologies to deliver efficient, repeatable, and scalable compliance solutions.

Our services include:

Compliance Program Management: Ongoing program oversight, regulatory calendars, exception review, and continuous advisory support.
Policies & Procedures: WSP development, BCP programs, vendor due diligence, privacy controls, marketing standards, and Form CRS.
Registration & Disclosure Management: Firm and employee registrations, Form U4 support, OBAs, PSTs, and private investment disclosures.
Conflict Management Frameworks: Employee trading, gifts & entertainment, outside affiliations, and political contribution programs.
Training & Supervisory Oversight: Annual compliance and AML training, regulatory element monitoring, and branch/internal controls testing.
Surveillance & Communications Review: Trade surveillance, client onboarding oversight, electronic communications review, and issue escalation.
Independent Testing & Regulatory Reviews: AML testing, internal controls testing, Reg BI assessments, and comprehensive annual reviews.

Softek enables your firm to tailor the scope, cadence, and depth of engagement so compliance support aligns with your structure, products, and supervisory expectations.

PRACTICAL. EXPERIENCED. SCALABLE.

The result is a compliance framework that is proactive, efficient, and aligned to your firm’s strategic and regulatory needs. Softek gives you the confidence of an in‑house compliance team—without the overhead—supported by specialists who understand the pressures and pace of today’s financial markets.

KEY FEARTURE

Fully outsourced or hybrid compliance program management
WSPs, BCP, privacy programs, vendor diligence & operational policies
Registration and disclosure management for firms and individuals
Conflict‑of‑interest monitoring across employee activity & external affiliations
Annual compliance, AML, and regulatory training programs
Trade surveillance, onboarding oversight & electronic communications review
Independent AML testing, Reg BI assessments & internal control audits
Marketing & advertising review for retail, institutional & digital channels
Comprehensive annual reviews and regulator‑aligned testing frameworks
Integrated use of technology for monitoring, recordkeeping & workflow tracking

BENEFITS

Access to seasoned compliance professionals with real‑market experience
Reduced operational burden and lower staffing overhead
More consistent, effective, and sustainable compliance oversight
Enhanced readiness for regulatory exams, audits & inquiries
Confidence that policies, procedures & controls align with your business model
Faster execution of required filings, reviews & supervisory tasks
Clear documentation and audit trails for all compliance activities
A scalable support model that adapts as your business grows

ABOUT OUR COMPLIANCE SERVICES

AML SUPPORT

Our Softek Compliance team has managed Anti-Money Laundering (AML) responsibility requirements since the inception of the Patriot Act. We understand the evolution of AML programs, which allows us to go back to the basics, performing at the level of sophistication required in today’s challenging environment. In addition, we have specialized knowledge in implementing, maintaining, and enhancing our clients’ programs based on our own independent reviews and risk assessments. Our services are not “one size fits all” we take tremendous pride in providing unique solutions to meet each of our clients’ needs.

FAMILARITY & EXPERTISE:

Compared to alternatives, our ability to offer affordable seasoned AML professionals is second to none. Our experts’ experience allows efficient implementation into any business, immediately creating a positive impact.

DISRUPTOR FINANCIAL PLATFORM APPLICABILTY:

Due diligence is required, and may be even more important, for financial companies who can be labelled as “disruptors”. With extensive knowledge of Customer Identification Programs (CIPs), our team can consult your firm on the best approach specific to your operations. We may also assist in the discovery and reporting of red flags to senior management, the AML-CCO and the CCO for review. The Softek Compliance team has the expertise to guide FinTech companies in their creation of rules and regulations regarding technology. In addition, we can assist FinTech disruptor companies on the specific types of reports and testing that should be produced to ensure it performs within regulations. We have previously advised on both front-end and back-end systems, allowing us to work on a broad range of tasks your company may have

ANNUAL OR PERIODIC AML RISK ASSESSMENTS:

Our team is able offer risk assessments that can be customized to the client’s interest and can be completed on an annual, quarterly, or as needed basis. Any written supervisory procedures provided as a result of a risk assessments can also be customized per business line. This includes but is not limited to reviews of policies and procedures, detailed review of clients’ business models, review of AML risk assessment methodology by business line, transactional regions of risk and detailed sampling of client on-boarding information for testing purposes.

ELECTRONIC COMMUNICATION

Softek Compliance’s team of professionals can perform e-mail, instant messaging, voice, and marketing reviews as part of monthly compliance outsourcing services. We can also provide expertise and services to support one-time projects as a result of regulatory implementation, assessments, investigations, and/or litigation. Our staff is comprised of trained professionals including previous Series 24 holders and licensed attorneys that have a significant understanding of FINRA Rule 2210, Regulation Best Interest practices, and privileged and confidential communications.

SURVEILLANCE:

Our surveillance process comprises of systematic monitoring and observation of digital communications, such as emails, instant messages, social media interactions, and other forms of electronic data exchange. We work with clients to understand what kind of surveillance is of need for their firm, and how to perform it in the most efficient manner possible.

TRAINING:

Our team of experts can provide e-commerce training that covers the proper use of electronic communication tools within the context of a specific business. Our training program help our clients’ employees understand the importance of secure communication, data confidentiality, and compliance with relevant regulations to maintain the integrity and reputation of their firm. With the use of our training program, organizations can reduce the risk of data breaches, privacy violations, and several other legal and regulatory liabilities related to electronic communication.

RISK ASSESSMENTS:

INDEPENDENT TESTING & ASSESSMENTS

With years of professional expertise, our team is able to act as independent compliance consultants (ICC’s) for your firm. In this role, we conduct thorough and impartial assessments of an organization's compliance processes, controls, and procedures. Including:

Reviewing relevant policies and procedures to ensure they comply with regulatory requirements
Conducting tests and checks to verify if the organization is following its own policies and procedures
Evaluating the effectiveness of internal controls in identifying and mitigating compliance risks
Identifying areas of weakness or non-compliance and recommending remedial actions.
·Providing unbiased and objective reports to the organization's management and regulatory authorities

BRANCH REVIEW:

Softek Compliance branch reviews focus specifically on individual locations within the organization, ensuring that each branch of your business adheres to industry standards and complies with regulatory obligations. Our reviews ensure consistency of compliance across all branches of a company, minimizing potential regulatory risk.

REGULATION BI TESTING:

Regulation Best Interest (Reg BI) aims to enhance investor protection and transparency by establishing a higher standard of conduct for broker-dealers when dealing with retail clients. Reg BI seeks to ensure that

investors receive suitable recommendations and are provided with clear information about the costs, risks, and potential benefits of their investments. Our team can provide services in application of Reg BI, including:

Readiness Assessments
Policy and Procedure Development
Training and Education
Conflict of Interest Management
Compliance Monitoring and Testing
Compliance Reporting and Documentation
Client Communication Review
Recordkeeping

OUTSOURCING

A compliance calendar is a concise schedule that outlines important dates and deadlines for regulatory and legal requirements that an organization must adhere to. It helps businesses stay organized and on track with their compliance obligations, avoiding penalties and legal issues.

COMPLIANCE CALENDAR SUPPORT:

We offer comprehensive support for your firm's monthly compliance tasks. Our experts create and manage a customized compliance calendar, ensuring timely and efficient completion of regulatory requirements. With our services, your Chief Compliance Officer (CCO) can remain confident that their firm is meeting all necessary obligations effectively.

UNIQUE MANAGEMENT:

Questions and conversations that may arise based on provided calendars are encouraged, and never avoided. This ongoing support, consultation, and navigation of issues separates our compliance calendars from those of opposing firms which see their job as finished once the calendar is provided.

MONTHLY TASK INCLUDE:

Completing 314(a) and OFAC reviews relating to anti-money laundering requirements, tracking employee deadlines associated with completing CE, licensing exams, U-4, and U-5 filings, providing monthly regulatory updates, maintaining client restricted and conflicts lists, employee trade monitoring, reviewing electronic communications for potential escalations.

QUATERLY TASK INCLUDE:

Customer complaints monitoring and reporting to ensure compliance with regulatory requirements.

ANNUAL TASK INCLUDE:

Annual Compliance Testing, Bi-Annual AML Review, Review Compliance Manual & WSP’s, Annual Compliance and AML Training, Vendor Due Diligence Refresh.

POLICIES & PROCEDURES

When financial institutions adhere to well-defined policies and procedures, it builds public trust as these policies and procedures act as the bedrock ensuring stability, trust, fairness, and efficiency. Softek Compliance’s team of experts help develop a firm’s policies and procedures that efficiently adhere to regulatory obligations thereby building client confidence.

IIMPLEMENTATION, EVALUATIONS & ENHANCEMENTS:

Our Softek Compliance team is adept at assessing a firm’s compliance system’s needs, evaluating the best fit while creating and executing implementation plans that provide much-needed relief from manual management. Our team can also assist firms in analysing current operating systems and procedures to see what additional efficiencies can be created.

MONTHLY REGULATORY UPDATES:

Our team understands the struggles that come with operating in the increasingly fast-paced financial industry, especially in dealing with the ever-changing and evolving regulatory requirements. On a monthly basis we will inform your firm of any new regulatory requirements and or issues that are notable in relation to your firm’s operations as a business. With our monthly updates your firm will be able to stay ahead of issues which may have otherwise been unknown.

IN-DEPTH COMPLIANCE MATERIALS:

With significant experience in dealing with specific clients’ compliance problems, our Softek Compliance team has seen it all. With the use of the knowledge gained from these past experiences, we were able to successfully create in-depth compliance materials that will help any business in their regulatory efforts. Our materials are not only thorough, but highly compatible, making them suitable for any firm.

REVIEW AND UPDATES OF COMPLAINCE MATERIALS:

Our compliance materials continue to move in symmetry with industry best practices and up-and-coming regulatory issues, creating evolving materials that will continue to be of use to your business as time passes. Our experts regularly check and analyze areas that may need to be updated to meet new regulatory standards. While working with multiple clients in several sectors of the financial industry, we can adjust our materials across regulatory issues that may not have otherwise been mentioned if focusing on one specific sector.

REGISTRATIONS

Softek Compliance’s team of experts can provide a variety of firm as well as employee registration services. Whatever your need, our team will help guide the Firm through registration requirements and processes.

IMPLEMENTATION, EVALUATIONS, AND ENHANCEMENTS:

FINRA New Member and Continuing Member Broker Dealer Applications
Materiality Consultation Services
RIA, ERA, and State Investment Adviser Registration
MSRB registration
NFA registration
Employee registrations including:
- o U4 filings and updates
- o U5 filings
- o Fingerprint coordination
Registration Advice regarding firm and employee licensing, BD and U4 disclosures
Conflict Management

Ready to transform your operations? Let's talk about how Softek solutions can deliver the results your firm needs.

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