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Title: Broker-Dealer Consultants New Jersey, Outsourced Broker-Dealer Consultants New Jersey


1
WELCOME TO
  • Intersource Consulting Group LLC (ICG)
  • 19 Curwen Rd, Peabody, MA 01960 Phone.
    888-584-9002

2

Intersource Consulting Group NYC
  • Intersource CG is a proud partner of the
    Institute for Innovation Development ("IID").
    www.innovationdevelopment.org , an educational
    and business catalyst for members determined to
    grow their businesses in a world of constant
    change.

3

Outsourced FINOP New York
  • HOW INTERSOURCE CONSULTING GROUP LLC CAN HELP
  • At Intersource our specialized AML Audit Team has
    conducted a wide range of independent AML tests
    for all types of firms and business activities.
    By utilizing specialized expertise in both AML
    and Auditing, our team offers important
    advantages including
  • Comprehensive Capabilities - The
    well-defined Intersource audit methodology is
    consistent with regulators expectations
    including independent testing requirements
    associated with the BSA and the USA PATRIOT Act,
    the Office of Foreign Assets Control global
    sanctions, and various state-level requirements.

4

Outsourced CCO New Jersey
  • SECURITIES COMPLIANCE
  • ICG provides a broad range of compliance and
    regulatory services to the broker-dealer
    community.
  • Our clients have found that outsourcing certain
    aspects of their compliance functions is a cost
    effective strategy that provides access to
    qualified experts when needed.
  • ICG consultants are constantly talking with
    regulators and reviewing new rules and guidelines
    in order to stay current on SEC, FINRA and state
    regulator exam priorities, focus areas and new
    initiatives.

5

Outsourced Chief Compliance Officer Long Island
  • FINOP RESPONSIBILITIES
  • A Series 27 licensed FinOp requires full
  • knowledge of the practices
  • in these categories
  • Preservation of Accurate Books and Records
  • Financial Regulatory Reporting
  • Net Capital Compliance
  • Customer Protection

6

outsource financial services Long Island
  • FINOP SERVICES Register a senior
    representative as your Financial and Operations
    Principal
  • File Focus Reports (monthly and/or quarterly) and
    Net Capital Computation
  • File SSOI
  • Prepare annual Schedule 1 filing
  • File annual audit via CRD Gateway
  • File SIPC Reports
  • General Ledger account reconciliation
  • Trial Balance
  • Statement of Income
  • Statement of Financial Condition
  • Prepare journal entries
  • Bank and Clearing Firm Statements and
    prepare reconciliation
  • Income Expense Statement
  • Monthly discussion with management to review
    FOCUS and Net Capital


7

Outsourced Broker-Dealer Consultants NYC
  • THE BENEFITS OF THE OUTSOURCED CCO AND FINOP
    COMBINATION
  • A lot of broker-dealers prefer to have their CCO
    and FINOP in-house, where they can keep their
    pulses on business activity and compliance.
    However, it is often easy to overlook the Risks
    involved in taking that approach
  • The Risks
  • The Way Its Always Been Done A lot of In-House
    CCOs and FINOPs use their experience as their
    greatest tool. However, often times, what worked
    in 2007 doesnt work in 2017. Regulators are
    sharper, and business is more complex. Do your
    firms supervisory controls align with the
    business that your firm conducts? How are other
    firms in your business segment identifying their
    risks and controls? If your CCO doesnt work for
    any other BDs, how would he or she know? FINRA
    examines from a diver...

8

Ernie Koppotis NYC, outsource financial services
NYC
  • INTERSOURCE IN THE NEWS
  • A Multi-Dimensional Perspective On Regulatory
    Compliance
  • MARCH 17, 2017 BILL HORTZ
  • The Institute for Innovation Development is an
    educational and business development catalyst for
    growth-oriented financial advisors and financial
    services firms determined to lead their
    businesses in an operating environment of
    accelerating business and cultural change. We
    position our members with the necessary ongoing
    innovation resources and best practices to drive
    and facilitate their next-generation growth,
    differentiation and unique community engagement
    strategies. The institute was launched with the
    support and foresight of our founding sponsors -
    Pershing, Voya Financial, Ultimus Fund Solutions,
    Fidelity, and Charter Financial Publishing
    (publisher of Financial Advisor and Private
    Wealth magazines). For more information click
    here.

9
Contact us
  • INTERSOURCE CONSULTING GROUP
  • 19 Curwen Rd,
  • Peabody, MA 01960
  • Phone. 888-584-9002
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