Protiviti’s professionals partner with broker-dealers and investment banks to address financial, operational, technology and regulatory risk throughout their organizations, drive operational excellence, and overcome the challenges of today’s markets. 

Broker-dealers play an integral role in the financial services industry as intermediaries in the capital markets, as market-makers and as proprietary risk-takers. Successful broker-dealers must maintain the market breadth and depth that allows them to act as agent or principal on behalf of their clients. The industry has undergone a significant upheaval and is re-evaluating traditional business models, acceptable levels of risk and related performance. The focus on developing new revenue sources and customer bases – while effectively managing cost and risk – will require carefully crafted business strategies and operational models to address the competitive market dynamics, increased regulatory oversight and change in leverage and risk-taking activities.

Our experienced professionals help a wide range of broker-dealer and investment banking clients. We have expertise in assisting institutions with evaluating their front, middle and back office operations, risk management, regulatory compliance, and finance and accounting areas. Our consultants have conducted internal audit and Sarbanes-Oxley engagements for several broker-dealers of all sizes in and outside of the United States.

Our expertise includes:

1. Anti-money Laundering
2. Books and Records
3. Business Continuity Planning
4. Customer Information Protection
5. Research Analyst Rules
6. Security Futures
7. Supervisory Control