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Our Technology Overview
Mailing
FIN Compliance
2950 Buskirk Avenue
Suite 300 Walnut Creek, CA 94597
Booking a call
Cory Roberson
Cory@FINCompliance.io
Phone
650-305-2688
Our FIN Group
Compliance, Partnerships, and Audit Preparation
Falling behind on filings or audits?
Our fractional experts provide fast, reliable support for compliance, accounting, and IT—without full-time overhead. With experience across 200+ firms, we deliver flexible solutions to save time and resolve issues before or after audits.
Regulatory Consulting for SEC/State Advisors, FINRA, AML, CFPB, OCC,
FDIC, Federal Reserve, EU/UK and Health Care
Integrated Compliance/Stakeholder reporting for regulated firms and fractional partners
Launch or scale your consulting firm with revenue-sharing and referral support
Grow with our Subscription Sales Program for Consultants and Fractional Teams
Flexible Accounting Support to Streamline Financial Reporting and Stay Audit-Ready
On-Demand Audit Prep for Financial, AML, and IT Reviews—Including SOC & HITRUST
How We Help Firms Save Time & Money
Our compliance and fractional services help financial firms reduce internal workload, avoid regulatory risks, and scale without hiring full-time staff.
Save Time, Cut Costs, and Avoid Fines
By outsourcing ADV filings, compliance reviews, testing, and audit prep.
Cut Costs by $50K–$150K/Year
By replacing full-time CCOs, CFOs, or internal staff with fractional support.
Common SEC/PCAOB Fine Ranges
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+
(may include disgorgement or officer bars)
Additional Cost Savings from Audit-Readiness
Avoid rush fees (CPAs, legal, consultants): $10K–$50K+ per cycle
Reduce internal workload (100–250 hrs): $15K–$75K+ in staff time
Total Potential Savings:
$50,000–$500,000+ per audit cycle or enforcement event
Our Value
Reduce penalties and delays with filings, documentation, and regulatory systems
Bundle compliance, planning, and IT audit support under one provider
Avoid penalties, save 100+ hours, and stay audit-ready—without full-time staff