FIN Audits
Audit Preparation, Cybersecurity Monitoring & Compliance Operations for Financial, AML, and IT Security Reviews
Watch the Overview
FIN Audits overview in under a minute.
Audit Preparation Services
Comprehensive audit preparation and support to help your firm pass examinations with confidence.
Financial & SEC Exam Prep
Preparation and support for SEC/State examinations, financial statement audits, and regulatory reviews.
- Mock SEC/State examinations
- Document readiness reviews
- Deficiency remediation
- Exam day support
AML & BSA Reviews
Independent testing of anti-money laundering programs, BSA compliance, and sanctions screening. Now required for RIAs under the FinCEN 2026 rule.
- AML program testing (FinCEN / FINRA 3310)
- BSA & OFAC sanctions screening
- Transaction monitoring sampling
- SAR/CTR filing review
IT & Security Audits
SOC, HITRUST, and cybersecurity audit preparation, gap analysis, and remediation support.
- SOC 2 readiness assessments
- HITRUST certification prep
- Cybersecurity gap analysis
- Penetration test coordination
Fund/tax audit preparation support is also available through our CPA partners.
Cybersecurity Services
Powered by Optimit IT — compliance-aligned cybersecurity monitoring bundled with RegReview.io for financial firms.
Cyber Essentials
(Up to 3 devices)
Entry-level compliance + cybersecurity for solo advisors.
- RegReview Solo (1 user)
- Device monitoring (up to 3 devices)
- Dark web monitoring
- Basic vulnerability scanning
- Monthly compliance + cyber summary
Additional Devices: $20/device/month
Best For: Solo RIAs, fractional advisors, new firms
Cyber Compliance
(Up to 10 devices)
Core compliance system + cybersecurity aligned to SEC expectations.
- RegReview Starter (multi-user)
- Device monitoring (up to 10 devices)
- Continuous vulnerability scanning
- Vendor risk monitoring
- Phishing simulations + training
- Incident response plan
- Quarterly risk assessments
Additional Devices: $18/device/month
Best For: Small-to-mid RIAs (2–10 employees)
Cyber Program
(Up to 25 devices)
Full compliance + cybersecurity program with audit readiness.
- RegReview Professional (multi-user)
- Device monitoring (up to 25 devices)
- Advanced vulnerability scanning + pen testing
- Full vendor risk program
- Advanced phishing + behavioral analytics
- Mock regulatory exam support
- Annual cybersecurity program review
Additional Devices: $15/device/month
Best For: Established RIAs, multi-entity firms, funds
Compliance Operations & Automation
Powered by Optimit IT — workflow automation, integrations, and process optimization for firms using RegReview.io, InvestPrep.io, and ADScanner.io.
Basic
Integration setup and operational strategy for firms beginning their automation journey.
- Workflow assessment & mapping
- Integration setup (Zapier, n8n, Power Automate)
- API connections & webhook configuration
- Knowledge transfer & walkthroughs
Pro
Up to 10 hours/month
Ongoing managed automation, AI agent development, and continuous workflow optimization.
- Managed workflow automation
- AI agent setup & configuration
- Prompt design & AI-driven workflows
- Ongoing optimization & monitoring
Professional
Up to 20 hours/month
Everything in Pro with expanded capacity for larger automation programs.
- All Pro services included
- Expanded automation capacity
- Cross-system integrations
- Security & governance adjustments
Avoid Costly Fines & Penalties
Proper audit preparation and automated compliance monitoring can save your firm significant money.
Minor Deficiencies / Books & Records
$5K–$25K+ per incident
Form ADV Errors / Disclosure Failures
$20K–$100K+
Custody Rule Violations
$50K–$250K+
Marketing Rule Violations
$25K–$200K+
Repeat/Willful Violations
$100K–$1M+
Rush Fees (CPAs, legal, consultants)
$10K–$50K+ per cycle
Total Potential Savings: $50,000–$500,000+ per audit cycle
Prepare for Your AuditFIN Audits runs inside our own platforms — your team works in your portal, not in spreadsheets.See how the OS works.
Our Product Suite
Our consultants identify your regulatory requirements, then our AI platforms handle ongoing compliance workflows—with or without hands-on support.
RegReviewBeta— Compliance OS
The AI-based operating and reporting system for compliance programs — used by in-house teams and consultants to run registrations, calendars, annual reviews, marketing review, audit prep, vendor due diligence, continuity, DOL rollover analysis, and communication archiving from one platform. Enter your CRD or upload documents and AI identifies every regulator and auto-generates your task calendar. Now in 8 industry versions: RIA, broker-dealer, insurance, real estate, private credit, law firms, CPA/accounting, and fintech & payments.
InvestPrepBeta— Private Capital OS
The AI-based operating and reporting system for fund administration, investor reporting, and due diligence programs — used by fund admin teams, GPs, allocators, and consultants to run investor onboarding, KYC/KYB, capital calls, distributions, sub docs, and DDQs across four specialized modules (Fund Admin Pro, Due Diligence Pro, Capital Markets Pro, Credit Pro). Multi-jurisdiction support for US, EU, and Canada. Plans from $189/mo, 14-day free trial.
ADScannerBeta— Marketing Review
Upload marketing materials and get instant compliance analysis across SEC/FINRA (US) with state overlays (CA, NY, TX, FL), FCA (UK), CSA (Canada), and ASIC (Australia). Eight industry packs: financial services, insurance, mortgage, banking, healthcare, legal, tax & accounting, and real estate. Line-by-line analysis, risk detection, AI-revised compliant rewrites, and webhook integrations in seconds.
Ready to prepare for your next audit?
Schedule a consultation to discuss your firm's audit readiness and how our team can help.