Services
Cerulean Securities Compliance, LLC is a full service compliance & operations consulting firm. Our firm assists all types of clients but has specific expertise in the financial services industry. We provide cost effective solutions through customized advice, ongoing assistance, process documentation, training, and testing services. We specialize in offering solutions to problems that pertain to your particular facts and circumstances.
Additionally, please see below for a list of the most popular compliance services that we provide.
Broker-Dealers
Supervisory Control Testing and Report
Written Supervisory Procedures
Annual Compliance Meeting
Firm Element Continuing Education
Advertising / Retail Communication Review
Comprehensive Mock Audit
Annual Internal Review
Branch Audits
Cybersecurity Policies
Regulatory Inquiry Assistance
Examination Prep & Response Assistance
Office Set Up (Back Office, OSJ & Non-OSJ)
Privacy Policies & Notices
Business Continuity and Disaster Recovery Plans
Compliance Training (CCO or Staff)
Investment Advisers
Mock Examinations
Written Procedures and Disclosures
Ongoing Compliance Support
Risk Assessment
Code of Ethics
Privacy Policies & Notices
Form ADV Initial and Amended Filings
Disclosure Brochure & Supplements
Cybersecurity Policies
Business Continuity and Disaster Recovery Plans
Advisory and/or Investment Management Agreements
Anti-Money Laundering Policies
Solicitation Arrangements
Training for CCOs & Compliance Staff
Operations Consulting
Process Analysis
Functional Area Analysis & Organization
Workflow Review
Department Level Task Organization
Error Review and Correction
Documentation of responsibilities
Documentation of back up capabilities
Cross Training
Cross Departmental Structure Organization