The compliance back office behind every FIN Group engagement.
One firm record, templated regulatory workflows, standard deliverables, and a timestamped evidence trail — run on RegReview, InvestPrep, and ADScanner. It is how our consultants work, and it is available to other consulting and service firms.
How it works
Seven layers, one operating model.
Consultants bring judgment. The back office handles structure, consistency, and proof of work.
Intake & firm record
One firm record per client — registrations, CRD/IARD numbers, entities, funds, reps, and renewal dates. Every consultant starts from the same file instead of a folder of emails.
Workflow engine
Annual review (206(4)-7), 3120/3130, AML independent testing, marketing review, personal trading, vendor DDQ, and filing/renewal cycles run as templated workflows with owners and due dates.
Deliverable templates
Redlines, gap-scan findings, testing workpapers, WSP/manual updates, and review memos come out of shared RegReview templates — consistent regardless of who staffs the engagement.
Evidence & audit trail
Approvals, attestations, marketing sign-offs, and change logs are timestamped as the work happens. Exam and DRL responses are exported, not reconstructed.
Staffing model
Every engagement carries a primary and backup consultant plus back-office technology support, so vacations, capacity spikes, and hand-offs don't stall a client.
QA & supervision
Tier-based review cadence with a named reviewer before anything leaves the shop. Scope caps and step-up triggers keep engagements inside the fee they were priced at.
AI governance & oversight
Every firm now runs AI somewhere — note-takers, chatbots, drafting tools. We maintain the AI policy, approved-tool inventory, vendor AI diligence, output supervision, and prompt/output recordkeeping so the use is documented instead of discovered at exam.
The technology stack
Three platforms carry the work.
RegReview — Compliance OS
Manual and policy management, annual review, testing workpapers, marketing log, vendor log, personal trading, filings and renewals.
InvestPrep — Private Capital OS
Subscription documents, capital calls, distributions, investor reporting, and NAV close for private-fund clients.
ADScanner — Marketing Review
AI pre-review of ads, websites, and social content against Marketing Rule and FINRA 2210 standards before a human reviewer signs off.
Learn more about the framing in What is a Compliance OS?
Team training
What every consultant learns first.
The one-pager covers the operating rules in a single page. New consultants shadow one full engagement cycle before owning a client file.
Training one-pager (PDF)Onboarding modules
- How a new client moves from signed proposal to a live firm record
- Which workflow to open for each engagement type — and who owns it
- Template discipline: what you may edit, what stays standard
- Evidence hygiene: what has to be logged the day it happens
- Scope caps, step-up triggers, and how to escalate an out-of-scope ask
- Primary/backup hand-off checklist and client communication standards
Back office for other firms
Run your practice on our back office instead of building one.
Built for compliance consultancies, fractional CCO and CFO practices, law and accounting firms, and MSPs adding a regulated financial services line.
Shared Back Office
From $1,500/mo
Your consultants work inside our workflow engine and templates on seats we operate. Fastest way to standardize a small practice.
- Seats in RegReview (+ InvestPrep if fund work)
- Template and workflow library
- Onboarding and quarterly refresh training
Co-Branded Back Office
From $3,500/mo
Same engine, your brand on client-facing deliverables and portals, with our bench available for overflow and specialty work.
- Co-branded deliverables and client portal
- Named FIN Group backup consultant bench
- Fund admin and marketing review overflow
White-Label Back Office
$15K–$50K build + hosting
A fully private-labeled Compliance OS on your domain, with our team running the platform and back-office operations behind the curtain.
- Your brand, domain, and SSO
- Full workflow, evidence, and reporting stack
- 24-month term; see the white-label partner kit
Pricing is indicative and scoped per firm by seat count, client volume, and bench usage. Full white-label terms live on the white-label partner page.
AI governance & oversight
We supervise your AI. We don't administer it.
Firms are already using AI for meeting notes, drafting, marketing, and client chat — usually without a policy, an inventory, or a record. The back office treats that as a supervisory obligation, which is squarely inside a compliance mandate, and leaves the IT side with your IT provider.
AI Governance Starter
$495 one-time
Stand up the paper trail: written AI use policy, approved/prohibited tool inventory, employee attestation, and a board/CCO memo.
- AI use policy tailored to your registration type
- Approved-tool inventory and prohibited-use list
- Firm-wide attestation and training acknowledgment
- Vendor AI diligence questionnaire (DDQ) template
AI Oversight — Managed
$149–$399/mo
Ongoing supervision by tool count. We review what your AI produces, log it, and keep the inventory and policy current.
- Supervisory review of AI-generated client-facing output
- Marketing and social AI output run through ADScanner
- Prompt/output retention as books and records
- Quarterly inventory refresh + annual policy update
- Included free with Platinum and all CCO Services tiers
Governed AI Development
$249–$1,250/mo
For firms whose staff draft procedures, WSPs, and memos with a large language model — Claude, ChatGPT, Gemini, Copilot, or an internal model — or build internal tools on a model API. Model-agnostic: we govern the tools you already use.
- Human review gate before any AI-drafted procedure is adopted
- Prompt, output, model version, and reviewer decision retained as records
- Model and prompt change log with pre-deployment validation for internal builds
- Annual AI section in the 206(4)-7 / 3120 review file
- Drafting tier free with Platinum and all CCO Services tiers
AI Portal Build & Run
$7.5K–$50K build + hosting
When a firm wants its own branded AI compliance workspace, we build it and run the governance layer behind it.
- Branded, custom, or white-label deployment
- Workflow, evidence, and reporting stack included
- Governance and supervision operated by FIN Group
- See the AI portal build-out tiers on the pricing page
Why this sits with compliance
SEC exam staff, state regulators, and FINRA are all asking the same three questions: what AI is the firm using, who approved it, and how is the output supervised and retained. Those are policy, review, and books-and-records questions — the same layers the back office already runs. Our own AI disclosure shows the standard we hold ourselves to.
Out of scope, on purpose
- Provisioning or administering your AI tenants (Copilot, ChatGPT, Gemini)
- Model configuration, fine-tuning, or prompt engineering as a service
- Network security hardening, endpoint management, or helpdesk
- Anything that makes us your IT department instead of your compliance function
Back office FAQ
What exactly is the compliance back-office program?
It is the operating layer behind FIN Group consulting: one firm record per client, templated workflows for every recurring regulatory obligation, standard deliverable templates, a timestamped evidence trail, and a primary/backup staffing model — all run inside RegReview, InvestPrep, and ADScanner.
Is this a product or a service?
Both. Internally it is how our consultants deliver. Externally it is offered to other consulting and service firms as shared, co-branded, or white-label back office — technology plus process plus an optional bench of our consultants.
Can another firm use it without giving up client relationships?
Yes. In co-branded and white-label models the client contract stays between the partner firm and its client. FIN Group operates the back office behind the partner's brand.
What does training look like for a new consultant?
A one-pager plus a working session covering intake, workflow selection, template discipline, evidence hygiene, and scope escalation. New consultants shadow one full engagement cycle before owning a client file.
Does the data export if a firm leaves?
Yes. Workspaces, workpapers, logs, and evidence export in full. Platforms are licensed, not sold, but the record of work belongs to the firm.
Does the back office cover the firm's AI tools?
Yes — as governance and supervision, not IT administration. We maintain the AI use policy, the approved and prohibited tool inventory, vendor AI diligence, annual attestations, supervisory review of AI-generated client-facing output, and prompt/output recordkeeping. We do not administer your AI tenants, provision seats, configure models, or harden your network — that stays with your IT provider or MSP.