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
Six 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.
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.
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.