Broker-Dealer Operations

Modernize your data operations while maintaining strict compliance with FINRA, SEC, and state regulations

The Challenge

Broker-Dealers face increasing regulatory complexity, data volume growth, and the need for real-time operational visibility. Legacy systems struggle to keep pace with reporting requirements, client expectations, and operational efficiency demands.

Modern data platforms like Microsoft Fabric offer a path forward, but migration requires careful planning, compliance-first architecture, and execution that doesn't disrupt operations.

Key Requirements

  • ✓ FINRA, SEC, and state regulatory compliance
  • ✓ Audit trails and data retention policies
  • ✓ Real-time trade data reconciliation
  • ✓ Client account data security
  • ✓ Operational reporting and analytics

How We Help

Regulatory Reporting Automation

Automate FINRA and SEC reporting with reliable data pipelines, validation, and audit trails. Reduce manual effort while improving accuracy and timeliness.

Trade Data Reconciliation

Real-time reconciliation of trade data across systems, with exception handling and automated alerts for discrepancies.

Client Account Data Management

Secure, compliant management of client account data with proper access controls, data lineage, and retention policies.

Microsoft Fabric Readiness

Assessment and migration planning for Microsoft Fabric, ensuring compliance, security, and operational continuity throughout the transition.

Ready to Modernize?

Let's discuss your broker-dealer operations and data platform needs.

Book a Readiness Call