Description

A focused course, tailored for you

The Broker-Dealer Compliance Manager's Supervisory Evidence Playbook

Turn supervisory reviews, WSP attestations, and Reg BI testing logs into an exam-ready file an examiner can walk before lunch.

Your WSP says the review happens. Your exception log says twelve aged items are still blank. The examiner will read the exception log first.

$199 one-time

Tailored to your situation. Access within 24 hours. 30-day money-back.

Includes a hand-built implementation playbook delivered alongside course access, generated for your specific situation.

Why this course

The day-to-day of a broker-dealer Compliance Manager runs on a stack of supervisory artefacts that are individually small and collectively the whole job. Daily trade exception reviews. Rep email surveillance escalations. Branch inspection checklists. Reg BI Care Obligation testing samples. AML transaction monitoring alerts cleared under Rule 3310. Annual WSP attestation packets. Each one is a file that has to prove a person looked, decided, documented, and a principal signed within the window the WSP committed to. When any one of those files is patchy, the rest get questioned by association. The pain is not policy drafting. The pain is the daily evidence engineering that makes the policy actually visible on demand, and the fact that nobody else in the firm prioritises that work until an exam letter arrives.

What you walk away with

Design one supervisory evidence layer that carries WSP, Reg BI testing, branch inspection, and 3120 certification.
Cut the time to assemble an exam request list response from two weeks to two days.
Close the gap between what the WSP commits to and what the exception log actually shows.
Build a Rule 3120 annual certification packet that a principal can sign without rebuilding the year.
Run a Reg BI Care Obligation testing program with sample sizes, scoring, and exception handling an examiner accepts.

The 12 modules

Module 1. The supervisory evidence layer, end to end

Maps every supervisory artefact a US broker-dealer Compliance Manager owns into one evidence layer. Covers daily trade exception files, email surveillance, branch inspections, Reg BI testing, AML 3310 reviews, and the annual 3120 certification. Shows where each artefact has to live, who signs it, and how the audit trail connects so examiners can walk one file from policy to closure without you assembling it on the day.

Module 2. WSP and exception log alignment

Walks through the gap that creates almost every supervisory finding: the WSP commits to a review cadence and a documentation standard, the exception log shows aged items with blank disposition columns. Provides a template for mapping each WSP commitment to the exact evidence column that proves it, plus a weekly reconciliation pattern a supervisor can run in thirty minutes.

Module 3. Reg BI Care Obligation testing

Builds a documented Reg BI Care Obligation testing program: how to define the universe of recommendations subject to testing, set sample sizes that hold up under SEC review, score against the Care, Disclosure, Conflict of Interest, and Compliance Obligations, and document remediation when a recommendation fails. Includes a worked testing-log template and a scoring rubric for cost, reasonable basis, and customer best-interest fit.

Module 4. Rule 3110 supervisory system documentation

Translates the Rule 3110 supervisory framework into the practical files a Compliance Manager has to maintain: designation of principals, supervisory delegation memos, branch designation, OSJ documentation, and the supervisory log that ties every review back to a named principal. Includes the principal-designation matrix template most firms are missing on day one of an exam.

Module 5. Branch and OSJ inspection program

Builds a defensible branch inspection program under Rule 3110(c). Covers risk-based inspection frequency, the inspection checklist that aligns to your specific business mix, the on-site review protocol, findings documentation, and the remediation tracking that closes the loop. Includes templates that survive both routine FINRA branch sweeps and cause exams.

Module 6. AML Rule 3310 supervisory evidence

Connects the AML program to the supervisory evidence layer without duplicating work between AML and broader compliance. Covers transaction monitoring alert clearance documentation, independent testing scope, SAR decisioning records, customer identification program review evidence, and the annual AML training certification file. Built so AML evidence sits in the same examiner-ready structure as the rest of the supervisory file.

Module 7. Email and electronic communications surveillance

Designs the supervisory review of electronic communications a broker-dealer is required to maintain. Covers the lexicon and risk-tier approach to alert generation, the disposition workflow when an alert fires, the escalation path when an alert reveals a potential violation, and the documentation that proves a principal reviewed it. Includes a defensible lexicon template you can adapt to your business mix.

Module 8. Rule 3120 annual certification packet

Walks the construction of a Rule 3120 annual certification packet a principal can sign without you rebuilding the year. Covers the inventory of supervisory controls tested, the testing results, the gaps identified and remediated, the changes made to the WSP as a result, and the certification language itself. Provides the cover memo and exhibit structure that has held up across multiple exam cycles.

Module 9. Exam request list response

Builds the muscle to respond to a FINRA or SEC exam request list in days, not weeks. Covers the standing exam-ready folder structure, the request-to-artefact mapping, the privilege and confidentiality review pattern, and the production log. Shows how to pre-stage the supervisory evidence layer so a request list becomes a retrieval exercise, not a reconstruction project.

Module 10. Outside business activity and personal trading supervision

Covers the two supervisory areas that quietly produce disproportionate findings: outside business activity disclosures under Rule 3270 and personal securities transactions under Rule 3210. Provides the disclosure intake form, the review and approval workflow, the conflict assessment template, and the annual attestation cycle. Includes the rep-facing language that improves disclosure quality.

Module 11. New product and material change supervisory review

Builds the supervisory review process for new products, material changes to existing products, and changes to the firm's business mix. Covers the new-product committee charter, the supervisory due diligence checklist, the training rollout to producing reps, the testing program for the first 12 months of distribution, and the documentation that proves supervisory review happened before customer recommendations did.

Module 12. Supervisory metrics the CCO actually wants

Closes the program with the dashboard a Compliance Manager owes the CCO and the audit committee: open exception aging, supervisory review timeliness, Reg BI testing exception rates, branch inspection findings trend, AML alert volumes and clearance rates, and the 3120 cycle status. Provides the metric definitions, the data sources, and the one-page dashboard that turns the supervisory evidence layer into a management instrument.

How this addresses your situation

Specific modules that map to what you said you are dealing with.

An exam request list arrives and you have ten business days to produce supervisory evidence across six rule areas.

The CCO asks for the Rule 3120 certification packet and the prior cycle is patchy in two of the tested controls.

A branch inspection finding from last quarter is still open and you cannot prove remediation was supervised.

Reg BI testing is overdue and the sample selection memo from the prior cycle is not in the file.

What you get with this course

12 written modules, scannable in one sitting and usable as standing reference.
Downloadable templates for the WSP-to-evidence map, Reg BI testing log, 3120 certification packet, branch inspection checklist, and supervisory dashboard.
Worked examples for each module drawn from the realities of a US broker-dealer compliance environment.
A hand-built implementation playbook tailored to your specific supervisory structure, delivered alongside course access.
Lifetime access to the course in the Art of Service learning environment, plus all template updates.

What you will have in hand by Day 1, Week 1, Month 1

Within 24 hours: account provisioned in the Art of Service learning environment, all modules and templates available, hand-built implementation playbook delivered.

Week 1: WSP-to-evidence map drafted using the module 2 template.

Week 2-3: Reg BI testing log and 3120 packet structure stood up using modules 3 and 8.

Week 4 onward: Standing supervisory dashboard from module 12 in weekly use.

Before and after

Before

Exception log carries aged items with blank disposition columns. WSP commitments are not visibly tied to evidence. Exam request list response means two weeks of reconstruction work.

After

Every WSP commitment maps to a named evidence artefact. Aged exceptions trigger a defined supervisory workflow. The exam request list is answered from a standing folder structure in days.

What happens if you do not address this

Supervisory findings compound. A patchy 3120 packet feeds into a routine exam that opens a cause exam that fills the next quarter. The pattern is not a single big breakdown, it is the accumulation of small unsigned, unlogged, unreconciled artefacts that an examiner reads as a supervisory system that is not actually functioning.

Who it is for

Compliance Manager inside a US registered broker-dealer or dual-registered RIA/BD with a written supervisory procedure obligation under FINRA Rule 3110, Reg BI obligations, AML responsibilities under Rule 3310, and the annual 3120 certification cycle. Sits between the CCO and the line supervisors. Owns the supervisory evidence trail.

Who this is NOT for. Not for retail registered representatives, branch managers without compliance accountability, or pure RIA-only compliance roles where FINRA supervision rules do not apply. Not a CFA or Series 7 study aid.

How it arrives

Text-based course in the Art of Service learning environment, plus downloadable templates and worked examples for every module, plus the hand-built implementation playbook delivered alongside course access.

Time investment. Two to three hours per module if read end to end. Most managers read the modules they need first and return to the rest as their supervisory cycle hits each area.

Why $199 is the right number

FINRA and SEC publications are authoritative on the rules but stop short of the actual file structure. CLE and SIFMA conference content explains what supervision should look like at a principles level. Internal audit consulting at five-figure project rates produces a one-off deliverable. This course produces the standing evidence layer the Compliance Manager owns and runs every day, at a price the Compliance Manager can authorise on their own.

FAQ

Is this aligned to current FINRA and SEC rule sets?

Yes. The course works against FINRA Rule 3110, 3120, 3210, 3270, 3310, and Reg BI as they currently stand. Where interpretation matters, the course cites FINRA Regulatory Notices and SEC staff statements rather than restating the rule text.

Does the implementation playbook reflect my specific supervisory structure?

Yes. The implementation playbook is hand-built after enrolment, based on your firm size, business mix, OSJ structure, and current WSP. It is delivered alongside course access.

How is this different from a FINRA CRCP study guide?

The CRCP designation tests knowledge of the rules. This course builds the file that proves supervision happened. Different objective, different deliverable.

Can I share access with my supervisory principals?

The course license is single-seat. The downloadable templates are licensed for use across your firm's supervisory program.

What if the course does not fit my situation?

30-day money-back if the course and the hand-built implementation playbook do not fit your supervisory program.

30-day money-back guarantee. If after a week of working through the materials this is not what you needed, reply to the receipt email and a full refund is processed. No questions, no forms.

Within 24 hours your account in the learning environment is provisioned and the tailored implementation playbook is delivered alongside it.