FINRA compliance software for broker-dealers.
FINRA examinations expect a written AML programme under Rule 3310, risk-based customer due diligence, suspicious-activity monitoring and records that prove each control ran. ComplianceSuite gives broker-dealers one operating layer for onboarding, screening, surveillance, case management and exam-ready evidence — so a cycle exam or a sweep request is answered with a linked record, not a scramble.
- AML programme controls aligned with FINRA Rule 3310
- CIP, CDD and beneficial-ownership verification
- Transaction surveillance and SAR workflow to FinCEN
- Time-stamped evidence for cycle exams and sweeps
Rule 3310 AML programme controls
Run the pillars of a written AML programme — policies, designated AML officer, ongoing training, independent testing and risk-based CDD — as configured, versioned workflows rather than static documents.
- Written programme with version history
- Independent-testing findings and remediation tracking
- Role-based training assignment and completion evidence
- Board and committee reporting packs
Customer due diligence and onboarding
Verify customer identity, understand the nature and purpose of accounts, resolve beneficial owners of legal-entity customers and score risk at onboarding — with enhanced due diligence where the model demands it.
- CIP identity verification with document evidence
- CDD and beneficial-ownership resolution
- Risk scoring with documented overrides
- Periodic and trigger-based reviews
Surveillance, cases and SAR filing
Monitor transactions and account activity for red flags, work alerts into cases with a full decision trail, and file SARs to FinCEN with supporting evidence retained and exportable.
- Configurable monitoring rules and typologies
- Alert-to-case workflow with decision lineage
- SAR drafting, review and filing evidence
- Continuing-activity review scheduling
Examination and investigation readiness
Respond to FINRA cycle exams, cause exams and Rule 8210 requests with point-in-time evidence: every policy, rule, alert, disposition and approval is time-stamped and linked to the underlying record.
- Point-in-time policy and rule exports
- Population samples with audit stamps
- Request tracking with owners and due dates
- Remediation plans linked to findings
FAQ
Regulator questions, answered.
Who is the FINRA compliance page for?
It is for US broker-dealers — including introducing and clearing firms, online brokers and securities fintechs — that must operate a written AML programme under FINRA Rule 3310 and respond to FINRA examinations and information requests.
Does ComplianceSuite replace our written AML programme?
No. Your AML officer and legal advisers own the programme's design and approval. ComplianceSuite runs the programme as configurable, versioned workflows and keeps the evidence that each control operated as written.
How does the platform support SAR filing?
Alerts can be worked into cases with a documented decision trail, and SARs can be drafted, reviewed and filed to FinCEN with the supporting evidence retained in the case file, including continuing-activity review scheduling.
Can it support both FINRA and SEC examination requests?
Yes. Because AML, surveillance, records and approvals share one evidence layer, the same exports that answer a FINRA cycle exam or Rule 8210 request support SEC examinations of the same activity.
How is customer data protected?
US or EU hosting is available, with AES-256 encryption at rest, TLS 1.3 in transit, role-based access, maker-checker controls and immutable audit logs. ComplianceSuite is ISO 27001, ISO 9001 and ISO 22301 certified.
How do FINRA implementations usually start?
Most firms begin with a scoped discovery session mapping the current AML programme, surveillance gaps and examination findings to a target operating model, typically with a 6-10 week implementation plan and a parallel-run period.
Walk into your next FINRA exam with linked evidence.
Book a session and we will show how your AML programme, surveillance and records connect to exam-ready exports.