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The Retail Brokerage Compliance Senior Manager Playbook

$199.00
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A focused course, tailored for you

The Retail Brokerage Compliance Senior Manager Playbook

Twelve modules a retail brokerage compliance Senior Manager maps onto a Reg BI cycle, SR 21-3 review and FINRA 3110 attestation.

Your last Reg BI Care Obligation testing memo got returned with the same comment again: the rationale field is too thin to defend at a regulator walk-through, and the sample selection rationale is not documented anywhere a successor could repeat. The attestation is due, the Director needs a clean sign-off, and the playbook for getting there has lived in three different SharePoint folders.

$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

Senior Managers in retail brokerage compliance sit between the registered-rep population, the supervisory chain, and a regulatory expectation set that has moved past surveillance counts. Reg BI is in its enforcement phase. FINRA Reg Notice 22-08 on complex products is being cited in routine exams. The SEC Marketing Rule has reshaped how recommendations are documented. The SR 21-3 letter raises the bar on conduct risk programs at firms with a bank affiliate. None of those expectations are met by a quarterly deck that summarises sample counts. They are met by living artefacts: a sampling methodology document, a rationale template the reps actually populate, an exceptions log keyed to the CRM, a supervisory documentation chain that a 3110 inspection can walk top to bottom. Building those artefacts, defending them in an internal audit close-out, and handing them to a successor without a six-week onboarding is the work this course is built for.

What you walk away with

  • A documented Reg BI Care, Conflict and Disclosure testing methodology a regulator can walk top to bottom, with sampling rationale, threshold logic and exception treatment defended in writing.
  • A rationale template the registered reps populate without a coaching call, mapped to the suitability profile fields in the CRM and the product risk classification.
  • A FINRA 3110 supervisory documentation chain that survives a routine exam and a successor handoff, covering OBA, gifts, electronic-communication review and complaints intake.
  • A conduct-risk overlay that aligns the retail compliance program with the SR 21-3 expectations applicable when the broker-dealer has a bank affiliate.
  • A quarterly attestation pack the Director signs at first review, not the fourth.
  • An exception-and-escalation log keyed to the CRM that ties every Reg BI flag back to the suitability profile that produced it.

The 12 modules

Module 1. Reg BI Care Obligation testing methodology
Builds the sampling methodology document that has been missing from most retail brokerage compliance programs. Defines the population, the stratification by product complexity and account type, the sample size logic, the rationale-field minimum content standard, and the exception treatment. Includes a worked example showing how to defend the sampling rationale against a regulator question on Care Obligation coverage of complex products under Reg Notice 22-08.
Module 2. Reg BI Conflict and Disclosure testing
Covers the Conflict Obligation and Disclosure Obligation testing chain separately from Care. Walks through identifying material conflicts at the firm and registered-rep level, mapping each to mitigation language in Form CRS and the rep-level disclosure, and testing whether the disclosure was delivered at the right point in the recommendation timeline. Includes the rebuttal pack for the most common findings.
Module 3. FINRA 3110 supervisory documentation chain
Reconstructs the supervisory documentation chain a 3110 exam will walk. Names every artefact: the written supervisory procedures, the review log evidencing supervisory checks, the escalation memos, the heightened-supervision case files, the annual certification. Shows the gap analysis that a Senior Manager runs against the WSPs once a year, with the questions to ask each registered-principal.
Module 4. OBA, outside business activity and private securities transactions
The 3270 and 3280 review chain end to end. The intake form, the conflicts review, the approval letter, the ongoing monitoring obligation, the annual recertification, the disengagement protocol when a rep changes the OBA scope. Covers the cases most often missed: passive board roles, family-business compensation, real-estate syndication interests, and crypto-adjacent passive holdings that are not the firm's business but are the firm's exposure.
Module 5. Gifts, entertainment, political contributions
The 3220, 2010 and Rule 206(4)-5 pay-to-play overlap for a dual-registrant firm. Includes the gift log structure that auditors do not find fault with, the political-contribution pre-clearance workflow, the threshold logic and the de minimis treatment, the entertainment definition that separates client meals from prohibited inducement, and the annual attestation that pulls the year's data together for the Director.
Module 6. Electronic communications review and off-channel communications
Builds the EC review program against the post-2022 SEC and FINRA enforcement actions on off-channel communications. Covers the platform inventory, the lexicon design, the sampling methodology for review, the escalation thresholds, the Bring Your Own Device policy gap, and the documentation the firm produces when a regulator asks who saw what and when. Includes the playbook for the off-channel sweep that boards now ask compliance to run annually.
Module 7. Complaints intake and resolution under 4530
The complaint definition that has tripped up most Senior Managers at exam time. Walks through the 4530 reporting categories, the internal escalation routing from branch through compliance through legal, the response-letter template, the trend analysis the Director uses for the quarterly committee, and the case-file documentation standard. Includes the audit response for the finding that complaints were closed without root-cause analysis.
Module 8. Suitability profile and Reg BI rationale in the CRM
The CRM-side of Reg BI. Names the fields that need to exist on the suitability profile to support a defensible rationale, the data-quality testing cycle that confirms those fields are populated, the workflow that flags missing data before a recommendation is booked, and the mapping from product risk classification to suitability profile that the rationale template uses. Includes the gap-test that surfaces stale profiles.
Module 9. SR 21-3 conduct risk overlay for a bank-affiliated broker-dealer
When the broker-dealer sits inside a bank holding company, the conduct-risk program has to satisfy SR 21-3, the SR 95-51 risk-management expectations, and the Federal Reserve oversight cadence in addition to FINRA. Maps the retail compliance program onto the conduct-risk taxonomy the bank's risk function uses, builds the bridge between FINRA findings and the bank's operational-risk register, and covers the committee reporting that satisfies both supervisors.
Module 10. Quarterly attestation pack the Director signs at first review
The pack structure that gets signed without three rounds of revision. Names the cover memo, the testing summary, the exception log, the trend analysis, the open-issue inventory, the management response, and the certification page. Walks through the Director's review questions and how to answer each one before they are asked. Includes the version control protocol that prevents the pack from being the cover page everyone reads and the back-up nobody reads.
Module 11. Internal audit close-out, successor handoff, regulator walk-through
Three audiences for the same artefacts. Covers how the Senior Manager defends the program in an internal audit close-out, how the program is handed to a successor without a six-week onboarding, and how the regulator walk-through is rehearsed before the exam team arrives. Includes the documentation index that lets any of the three audiences find the artefact they need without a guided tour.
Module 12. Annual program refresh: WSPs, training, certification, risk assessment
The annual cycle. Refreshes the Written Supervisory Procedures against the year's enforcement actions and rule changes, builds the firm-element CE plan and the registered-principal training, runs the annual compliance risk assessment that drives the next year's testing plan, and produces the annual compliance certification under 3130 that the CEO signs. Closes the loop from this year's findings to next year's testing methodology.

How this addresses your situation

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

The quarterly Reg BI testing pack is two weeks out and the Care Obligation sample rationale field is still thin: modules 1, 2 and 10.
FINRA opened a routine 3110 exam and the WSPs have not been refreshed against the most recent enforcement actions: modules 3, 11 and 12.
Internal audit raised a finding that off-channel communications surveillance is not documented and the board has asked for a sweep: module 6.
The bank holding company has rolled out an SR 21-3 conduct-risk program and is asking the broker-dealer to map onto it: module 9.

What you get with this course

  • Twelve written modules in the Art of Service learning environment.
  • Downloadable templates for the Reg BI sampling methodology, the rationale template, the EC review lexicon, the OBA intake form, the gift log, the complaints register, the 3110 review log, and the quarterly attestation pack.
  • Worked examples for the highest-friction module artefacts: the Care Obligation sample defence, the off-channel sweep report, the SR 21-3 conduct-risk mapping.
  • The hand-built implementation playbook tailored to your firm's account mix, supervisory structure and current open-issue inventory.

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

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

Modules 1 through 4 cover the immediate quarterly testing cycle and the 3110 supervisory chain.

Modules 5 through 8 cover the conduct chains that produce findings between testing cycles.

Modules 9 through 12 cover the bank-holding-company overlay, the attestation, the audit close-out and the annual refresh.

Before and after

Before

Reg BI testing memos that get returned with rationale-field comments, a 3110 exam preparation cycle that runs hot for six weeks every time, an off-channel sweep request that has nowhere to sit, a quarterly attestation pack the Director rewrites before signing.

After

A testing methodology a regulator can walk top to bottom, a rationale template the reps populate without a coaching call, an off-channel program documented against the post-2022 enforcement standard, an attestation pack signed at first review, and a successor-ready documentation index.

What happens if you do not address this

Reg BI is in enforcement phase. Off-channel communication failures are being settled in the high-eight-figures. SR 21-3 expectations are being woven into bank-holding-company examinations. A Senior Manager whose program is held together by three SharePoint folders and a Director's tolerance is one routine exam away from a finding that shows up on the public record. The cost of building the program properly is twelve modules and one implementation playbook.

Who it is for

Senior Manager or Manager in a retail brokerage or wealth-management compliance function, three to seven years in role, owning a slice of the Reg BI testing program, FINRA 3110 supervisory documentation, OBA and outside-business-activity reviews, gift and entertainment logs, or electronic communication surveillance. Reports to a Director or VP of Compliance. Has signed off on at least one quarterly attestation that came back with questions. Likely sits in a firm large enough to have a separate Legal function and an internal audit function that opens findings.

Who this is NOT for. Not for retail registered representatives looking for a Series 24 prep course. Not for AML-only analysts whose remit is BSA, CTR and SAR filing rather than conduct and supervision. Not for institutional broker-dealer compliance staff whose exam exposure is FINRA 4210 or SEC 15c3-3 rather than Reg BI. Not for compliance generalists at a non-broker-dealer fintech.

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. Roughly 90 to 120 minutes per module, with the implementation playbook designed to be worked through alongside the next quarterly testing cycle rather than read end to end first.

Why $199 is the right number

FINRA Institute and SIFMA Insights publish role-level CE content that is general by design and built for the Series-licensed population at large. SCCE webinars run wide. The big consulting firms will scope an engagement at a six-figure fee floor. This course sits in the gap: 199 USD, written for a Senior Manager in retail brokerage compliance, with a hand-built implementation playbook for your firm's actual program.

FAQ

Is this CE eligible?
It is not a FINRA-registered firm-element provider. The content is built to be useful for the work, not to satisfy a CE requirement.
Does it cover institutional broker-dealer rules?
Not the institutional rule set. The course is built for retail brokerage compliance: Reg BI, FINRA 3110, 4530, 3270, 3220 and the conduct chains. Institutional rules like 15c3-3 customer protection and 4210 margin are out of scope.
What if my firm does not have a bank affiliate?
Module 9, the SR 21-3 conduct-risk overlay, becomes optional. The other eleven modules apply to any retail broker-dealer.
How tailored is the implementation playbook?
Hand-built after you complete a short intake on your firm's account mix, supervisory structure and current open-issue inventory. Not a templated PDF.

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.

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