FIN Compliance

We're #hiring a new Fractional Consultants/Operators in United States. Apply today or share this post with your network.

We're #hiring a new Fractional Consultants/Operators in United States. Apply today or share this post with your network.

Pitch us your services or expertise. (e.g. What fractional services you can offer to our network; types of projects you do) We incorporate outside consultants, service providers, or fractional professionals into our practice through revenue-sharing arrangements. Current Roles to Pitch: Fractional Financial Officer, Compliance Officer, Sales/Business Dev Lead, Operations Officer, or HR/People Officer. If you see a fit, pitch your value — and I’ll follow up from there.  📅 Optional - Schedule to touch base via a brief network chat here: 👉 https://lnkd.in/gY2FKnhE

FIN Partners - Business/Sales Support - 30 min lunchtime chat - present your business, services, and needs....register and check schedule. https://lnkd.in/e3JpQiA4

Business/Career Support - 30min online lunchtime chat sessions---briefly share business needs and network......register to a session - https://lnkd.in/gY2FKnhE

2026 AML Requirements for SEC-Registered Firms: What You Need to Know As financial regulations evolve, Anti-Money Laundering (AML) compliance continues to be a top priority for SEC-registered firms. With new rule updates from FinCEN, enhanced enforcement from the SEC and FINRA, and global pressures to tighten financial crime controls, 2026 is shaping up to be a pivotal year for AML program updates. In this blog, we break down the 2026 AML requirements, highlight what's changed, and explain how SEC-registered firms can stay ahead of compliance expectations. https://lnkd.in/gcuizfkG

Business/Subscription building and strategies. https://lnkd.in/gj6uXgFW

The Securities and Exchange Commission (SEC) is rolling out EDGAR Next, a modernized version of its Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system. This initiative aims to streamline regulatory filings, enhance security, and improve user experience for corporations, investors, and compliance professionals. With significant changes in authentication, data structuring, and submission processes, EDGAR Next is set to redefine how companies interact with the SEC’s digital infrastructure. In this blog, we’ll explore what EDGAR Next is, its key features, and how businesses can prepare for the transition. https://lnkd.in/gvJhwRcN

We're #hiring a new Fractional Consultants/Operators in United States. Apply today or share this post with your network.

Case Study – Transforming a Workflow into a Scalable, Repeatable Process This month, one of our overseas clients is undergoing an audit with the SEC.  They are primarily regulated by a different entity and have limited familiarity with SEC oversight.  As part of the audit, the SEC requires them to implement a quarterly process—whether in the form of a document, technology, or AI-driven solution—to demonstrate compliance with code of ethics requirements. Our quick solution: We uploaded a checklist onto our portal system, enabling the client to efficiently track and document their compliance process. For enhanced efficiency, this checklist can later be converted into an automated web form. However, it’s important to consider the balance between automation and usability. Some customers rely on traditional document-based audit trails, so starting with a simple document may be the most practical approach. As the firm evolves, the solution can scale accordingly to meet growing operational needs.