Services
Discover Our Expertise
Bob Roach, Roach Corp's principal, has over 25 years of broker/dealer, asset management, banking and corporate finance experience. This includes an extensive background interacting with a variety of investors including retail, Angel and institutional in both private and public securities. Mr. Roach has served as FINOP, COO, CFO and Chief Compliance Officer for a number of broker/dealers, RIAs and investment funds (including '40 Act mutual funds). He also has significant experience setting up new broker dealers through the FINRA NMA and CMA processes in addition to RIAs and mutual funds.
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Mr. Roach has set up and managed two broker/dealers from inception, managed broker/dealer investment banking businesses, and acquired and managed a broker/dealers. For all of these broker/dealers, he has acted as their Managing Director, CFO/FINOP and Chief Compliance Officer. Mr. Roach has also acted as a Producing Principal for private placements and fund wholesaling.
CFO/FINOP
Mr. Roach would serve as your Firm's FINOP and/or contract CFO. He would sign off and file all FOCUS filings as well as oversee the annual financial audit. Additional CFO services may be available including the assumption of operational control of finances. This would include overseeing cash flow, vendor payments, billings and receivables. Cash flow forecasting would be maintained and updated. In addition, Mr. Roach would work with the respective accounting firms to ensure that financial audits and taxes were completed on a timely basis.
Compliance Consulting
As your compliance consultant, Roach Corp. would oversee the compliance infrastructure and procedures. Services offered may include:
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Oversight and supervision of registered representatives
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Review and implementation of the written supervisory procedures
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Oversight of the Firm element and Annual Compliance Meeting
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Oversight of the CRD system, registrations, terminations, and regulatory element
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Manage the ongoing email review of registered representatives
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Manage and approve marketing collateral and any FINRA Advertising approval requirements
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Stay up to date on FINRA regulatory issues and hot buttons
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Conduct and document compliance and records reviews