Experienced principal, OSJ, and financial operations support for broker-dealers and other securities-industry firms.
Experienced principal support for broker-dealers with supervisory needs.
Services may include supervision of branch and associated-person activities, review of customer accounts and transactions, communications oversight, escalation support, and documentation consistent with the firm's supervisory structure and written procedures.
Experienced financial and regulatory oversight for your broker-dealer.
Services include financial and regulatory reporting, capital monitoring, books-and-records oversight, coordination with auditors, regulators and other service providers.
Senior principal experience without a junior delivery model.
Our focus is practical oversight, clear communication, and appropriate documentation and direct involvement by experienced securities professionals.
Experienced principal coverage for firms conducting options business.
Services are tailored to the firm's activities, registrations, supervisory structure and written procedures.
Services are subject to applicable registration requirements and the broker-dealer's supervisory structure, written supervisory procedures and regulatory requirements.
We each have more than 40 years of industry experience, providing a combined 80+ years of securities-industry experience to Joseph Grace clients.
We understand broker-dealers because we have spent our careers in the industry. Our clients receive direct access to senior professionals - not a large team in which responsibility is delegated down through layers of junior personnel.
No two broker-dealers present exactly the same supervisory or financial-operations requirements. Before accepting an engagement, Joseph Grace seeks to understand the firm's business, personnel, products, supervisory structure and regulatory needs. From there, we determine whether Joseph Grace is an appropriate fit and define the responsibilities of the engagement.
