The Senior Compliance Manager Brokerage

Description

What is the The Senior Compliance Manager Brokerage course about?

A working playbook for a senior compliance manager at a retail brokerage who has to defend SEC, FINRA and SRO surveillance findings without losing a quarter to ad-hoc rework. You are a senior compliance manager at a retail brokerage. You own the surveillance program that examiners will walk on the next FINRA cycle exam, and your written supervisory procedures (WSPs) have to.

Why this course?

What do you take away from the The Senior Compliance Manager Brokerage course?

Produce a per-surveillance-theme evidence pack that maps alert to disposition to second-level review to sampling to WSP version. Write an escalation memo that a Senior Special Counsel reads without sending it back for rework. Defend a Rule 3110 supervisory structure walk-through with the artefacts the examiner will actually ask for, not the artefacts the policy says exist. Operate the Reg BI Care.

What you get with this course?

Twelve written modules with worked examples drawn from retail-brokerage surveillance populations. Downloadable evidence pack templates for each surveillance pillar: trade surveillance, Reg BI Care Obligation, Rule 4511 books-and-records, Rule 15c3-5 market access, FinCEN 314(a), CAT reconciliation, Rule 3120 testing. WSP version control spreadsheet template with worked example. Supervisory escalation memo template with three worked examples. Sampling methodology calculator with worked examples for.

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

Within 24 hours: learning environment account provisioned and the tailored implementation playbook delivered alongside course access. Week 1: complete modules 1-4 and produce a draft Rule 3110 supervisory framework evidence pack. Week 2: complete modules 5-8 and produce a Reg BI Care Obligation surveillance methodology and a draft escalation memo. Week 3: complete modules 9-12 and produce a sampling methodology, a WSP.

What does the The Senior Compliance Manager Brokerage cover on before and after?

Surveillance evidence lives across alert tools, ticketing systems, file shares, and SharePoint sites. Reconstructing an evidence pack for a cycle exam takes most of a quarter, and the examiner finds gaps the team did not know existed. Each surveillance pillar has a single evidence pack template that maps alert to disposition to second-level review to sampling to WSP version. The day-one document.

What happens if you do not address this?

The next cycle exam writes findings against artefacts the team thought were already in place. The cost of a finding is a remediation plan, a months-long deliverable schedule, and reputational damage with the supervisor that follows the firm for the next examination cycle.

Who it is for?

A Senior Manager of Compliance at a retail brokerage or a brokerage subsidiary of a larger wealth manager. Owns one or more surveillance pillars: trade surveillance, supervisory controls, AML monitoring, Reg BI surveillance, or books-and-records review. Reports into a Chief Compliance Officer or a Head of Brokerage Compliance. Has examiner contact during routine and for-cause cycle exams.

More answers: what you get with every course, refund policy, all help answers.

A focused course, tailored for you

The Senior Compliance Manager Brokerage Surveillance Playbook

A working playbook for a senior compliance manager at a retail brokerage who has to defend SEC, FINRA and SRO surveillance findings without losing a quarter to ad-hoc rework.

You are a senior compliance manager at a retail brokerage. You own the surveillance program that examiners will walk on the next FINRA cycle exam, and your written supervisory procedures (WSPs) have to match what the alert tooling actually does, what the dispositions actually say, and what your sampling actually covered. The gap between those four artefacts is where findings are written.

$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

Most senior compliance managers at retail brokerages can describe their Rule 3110 supervisory structure and their Reg BI Care Obligation policy clearly. What is harder is producing the evidence trail an examiner asks for in the room. The trade-surveillance alert that fired on a Thursday, the analyst who dispositioned it on Friday, the second-level review that approved the disposition, the sampling methodology that confirmed disposition quality, the WSP version that was in force on the trade date, and the escalation memo if the disposition went to a Chief Compliance Officer. This course rebuilds that chain as a single evidence pack per surveillance theme, so the next 3110 walk-through is the program speaking for itself rather than a quarter of reconstruction work.

What you walk away with

Produce a per-surveillance-theme evidence pack that maps alert to disposition to second-level review to sampling to WSP version.
Write an escalation memo that a Senior Special Counsel reads without sending it back for rework.
Defend a Rule 3110 supervisory structure walk-through with the artefacts the examiner will actually ask for, not the artefacts the policy says exist.
Operate the Reg BI Care Obligation surveillance pattern as a program, not a series of ad-hoc reviews.
Hold a Rule 15c3-5 market access pre-trade kill switch evidence pack that survives a Reg SCI tie-back.

The 12 modules

Module 1. The Rule 3110 supervisory framework as four artefacts

The 3110 framework is rarely missing in policy. It is missing in the evidence. This module rebuilds the framework as four artefacts the examiner will ask for: the supervisory inventory, the qualifications matrix for supervisors, the WSP version log with effective dates, and the annual 3120 testing report that ties the four together. Each artefact is reconstructed with a template and a worked example from a retail-brokerage sample population.

Module 2. Trade surveillance alerts and the disposition chain

Every trade surveillance alert that fires becomes one of three things: a closed disposition with a written rationale, an escalation memo to second-level review, or an open item awaiting market data. This module walks the disposition chain, the templates for each disposition type, the second-level reviewer assignment logic, and the audit trail that proves the disposition was made by a qualified supervisor on the day the alert fired. Includes worked examples for marking the close, wash trades, and layering alerts.

Module 3. Reg BI Care Obligation as a surveillance program

Most Reg BI Care Obligation programs are run as point-in-time reviews tied to a recommendation. The examiner asks how the surveillance population was selected, what the disposition rate was, and how the firm distinguishes a routine recommendation from one that triggered the Care Obligation test. This module builds the Care Obligation surveillance methodology, the customer-segment risk tiers, the recommendation sampling logic, and the disposition-rate trend report a CCO can defend in a board meeting.

Module 4. Rule 4511 books-and-records evidence pack

Rule 4511 has a long tail of subordinate rules. The evidence the examiner asks for is rarely a single document. It is the retention schedule, the WORM storage attestation, the data classification mapping, the destruction log, and the access audit trail. This module assembles those five into a single evidence pack per record type, with worked examples for trade blotters, customer communications, and order audit trails.

Module 5. Rule 15c3-5 market access pre-trade controls evidence

The Rule 15c3-5 pre-trade kill switch is not a one-time configuration. The examiner asks for the credit threshold change log, the threshold breach event log, the kick-out test evidence from the most recent live exercise, and the WSP that ties threshold setting to a named approver. This module builds the Rule 15c3-5 evidence pack as a quarterly artefact and pairs it with a Reg SCI tie-back so both rules are evidenced together.

Module 6. FinCEN 314(a) and SAR workflow audit trail

AML surveillance lives next to trading surveillance in most retail brokerages. This module builds the FinCEN 314(a) request workflow as an auditable artefact: receipt log, search methodology, customer match evidence, response packet, retention schedule. The SAR workflow is then layered on top with continuation-SAR logic, 90-day continuation calendar, and the supervisory review evidence the BSA officer signs.

Module 7. Consolidated Audit Trail (CAT) reconciliation and error remediation

The CAT reconciliation is a daily artefact that becomes an annual evidence pack. Examiners ask for the error rate trend, the categorisation of errors by root cause, the remediation evidence per error category, and the linkage between the CAT error log and any books-and-records correction. This module walks the daily reconciliation process, the error categorisation taxonomy, and the year-end CAT compliance attestation that ties to the 3120 testing report.

Module 8. Supervisory escalation memos that hold up under counsel review

An escalation memo that goes to a Chief Compliance Officer or a Senior Special Counsel is read line by line. The shape of a memo that survives that review: the surveillance trigger, the disposition history, the second-level review notes, the WSP version in force, the recommended action, the alternative actions considered, the rationale for the recommended action, and the named approver. This module provides the memo template, three worked examples, and the redline pattern counsel will apply.

Module 9. Sampling methodology that defends a 3120 testing report

The Rule 3120 annual testing report is only as defensible as the sampling that fed it. This module builds the sampling methodology as a documented artefact: population definition, stratification logic, sample size derivation, refresh cadence, and the linkage between sample-test exceptions and the WSP updates they triggered. Includes a sample-size calculator worked example for trade surveillance and Reg BI Care Obligation populations.

Module 10. WSP version control and effective-date discipline

Examiners ask which WSP version was in force on a specific trade date. Most retail brokerage compliance teams cannot answer in the room. This module builds the WSP version control artefact: change log with effective dates, approver evidence, supervisor notification log, training attestation tied to the change, and the cross-reference from each WSP section to the rule citation it satisfies. The artefact is delivered as a live spreadsheet template plus a worked example covering a Reg BI policy update cycle.

Module 11. Books-and-records corrections under Rule 17a-4

When a books-and-records error is found, the remediation evidence has to show the original record, the corrected record, the authorisation for the correction, the audit trail of the correction action, and the regulatory notification if one was required. This module walks the correction workflow, the notice-to-FINRA pattern, and the WORM-storage evidence that proves the correction was retained alongside the original.

Module 12. Cycle exam readiness and the day-one document request response

Most FINRA and SEC cycle exams open with a document request that has to be answered in five business days. This module rebuilds the day-one response artefact: the document inventory mapped to the request, the version control evidence, the WSP cross-reference, the sample population summary, and the supervisor sign-off log. The artefact pre-empts most second-round requests by closing the audit trail on the first pass.

How this addresses your situation

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

A FINRA cycle exam document request has just landed and the five-day window has started.

A Reg BI Care Obligation surveillance review has surfaced a recommendation pattern that needs escalation.

A Rule 15c3-5 threshold breach has been logged and the kick-out test needs reconstruction for the examiner.

A CAT reconciliation error has triggered a books-and-records correction under Rule 17a-4 and the notification packet needs assembly.

What you get with this course

Twelve written modules with worked examples drawn from retail-brokerage surveillance populations.
Downloadable evidence pack templates for each surveillance pillar: trade surveillance, Reg BI Care Obligation, Rule 4511 books-and-records, Rule 15c3-5 market access, FinCEN 314(a), CAT reconciliation, Rule 3120 testing.
WSP version control spreadsheet template with worked example.
Supervisory escalation memo template with three worked examples.
Sampling methodology calculator with worked examples for trade surveillance and Reg BI populations.
Day-one cycle exam response artefact template.
The per-buyer implementation playbook, hand-built for the buyer's specific surveillance pillar and brokerage product mix.

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

Within 24 hours: learning environment account provisioned and the tailored implementation playbook delivered alongside course access.

Week 1: complete modules 1-4 and produce a draft Rule 3110 supervisory framework evidence pack.

Week 2: complete modules 5-8 and produce a Reg BI Care Obligation surveillance methodology and a draft escalation memo.

Week 3: complete modules 9-12 and produce a sampling methodology, a WSP version control artefact, and a day-one cycle exam response template.

Before and after

Before

After

Each surveillance pillar has a single evidence pack template that maps alert to disposition to second-level review to sampling to WSP version. The day-one document request is answered in the first pass. The 3120 testing report ties to the same artefacts the examiner will request.

What happens if you do not address this

Who it is for

Who this is NOT for. Not for compliance generalists in non-broker-dealer settings. Not for AML investigators whose work is investigations rather than program surveillance. Not for legal teams whose work is rule interpretation rather than supervisory program evidence. Not for examiners themselves.

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 fifteen hours of focused work across three weeks, more if the buyer chooses to rebuild every evidence pack against their live surveillance population during the course.

Why $199 is the right number

FINRA Institute and SIFMA seminars cover the rules at a high level but do not produce the evidence pack artefacts. Big consultancy engagements produce the artefacts but at a multiple of this course's cost and on a quarterly engagement cadence. This course is a working playbook for the senior manager who already understands the rules and needs the evidence artefacts to operate the program.

FAQ

Does the course assume a specific surveillance tool?

No. Each module names the artefact the tool needs to produce, not the tool itself. The templates are tool-agnostic and have been used against ACA, NICE Actimize, Smarsh, and home-grown surveillance stacks.

How is the per-buyer implementation playbook tailored?

The buyer fills in a short intake on the buyer's surveillance pillar, brokerage product mix, and most recent examination findings. The implementation playbook is hand-built against those answers and delivered alongside course access.

Does the course cover institutional broker-dealer surveillance?

The Rule 15c3-5 module covers market access controls relevant to institutional trading. The trade surveillance, Reg BI, and Rule 4511 modules are tuned to retail brokerage. Institutional-only firms will get less from modules 3 and 11.

What if the buyer's CCO wants to review the materials first?

All twelve modules and the templates are reviewable from the learning environment. The CCO can audit the buyer's account on request.

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.