We help broker-dealers stay audit-ready, every day.
Eqyance is a team of compliance professionals delivering audit trail consultancy and system design for broker-dealers — whether you run an in-house build or a third-party vendor setup.
Eqyance handles the full system design — whether you have an in-house build or a 3rd-party vendor setup. Every service below maps back to keeping you defensible under exam.
From order-level reporting to execution quality disclosures, we build and maintain the systems that keep you defensible under exam.
Order lifecycle reporting across all four divisions — compliance, stakeholders, developers, and traders.
Customer and account record reporting, reconciliation, and remediation.
Monthly and quarterly reporting on order routing and execution quality under SEC Rules 605 and 606.
Monitoring trading activity for potential violations of market manipulation rules and best execution standards.
Every capability maps back to the same audit trail — so nothing gets reported twice, and nothing falls through the cracks.
Experience covering and communicating across all four divisions of firm operations — Compliance, Stakeholders, Developers, and Traders — to understand CAT reporting end to end.
Designed, authored, and managed compliance policies and operational procedures for the NYSE system at the start of OATS-NMS (2011–2021).
Managed and tracked system releases and upgrades through development, QA, and production — aligned to SEC Rule SCI.
Designed Order Management System (OMS) integration and complete system builds for firms reporting for the first time.
Our team brings decades of front-line regulatory experience — built inside NASD, FINRA, and the firms we now serve.
Raymond brings 10+ years of regulatory experience with NASD/FINRA, learning the industry from the ground up — providing guidance with U4, U5, and BD filings. This foundation led to his becoming a Subject Matter Expert for Customer Complaints (Rule 3070/4530), guiding firms through financial documents including F.O.C.U.S. Reports, Annual Audits, and Regulation T filings, as well as preparing STARR reports for exam preparations.
From the beginning of his career with NASD/FINRA, Raymond covered OATS — drafting test requirements, investigating potential violations, analyzing exception statistics, and developing system processes that improved efficiency. He was responsible for OATS Phase III registration and was a recipient of The President's Team Award.
He currently holds an A.A.S. degree from Montgomery College and a Series 99 (Operations Professional) license. He enjoys family time with his wife and children.
Cecille brings six years of regulatory experience with NASD/FINRA. Her career began at the OATS help desk during the onset of Phase III testing. She then pursued a role in the Market Regulation department as a Compliance Examiner in Trading & Market Making Surveillance (TMMS).
As a TMMS Examiner, she conducted cycle examinations of market activity — ensuring that proprietary firm data was correctly documented, coded, and submitted in compliance with securities laws. Those laws include SEC Regulation NMS, SEC Regulation SHO, Books and Records requirements, Order Protection rules, Trade Reporting rules, OATS reporting rules, Best Execution requirements, and Supervision rules.
She holds a degree in Mathematical Science with a minor in Business Administration from Old Dominion University. She enjoys spending time with her husband and children.
Mike is a compliance, operations, and risk professional with 14 years of experience surveilling for regulatory violations, assessing risk, and managing supervisory systems and controls across the brokerage, wealth management, and asset management spaces.
Beginning at FINRA as a Market Analyst and Sales Practice Examiner and growing into a cost-conscious compliance officer, Mike has both led sales practice examinations and has written and built supervisory procedures, systems, and controls for both buy-side and sell-side teams.
From filing 13F and Form BD, to conducting marketing review for new products, to procurement and vendor onboarding, Mike has touched every area of supervision — from small RIAs to wirehouses. He holds a Master's Degree in Finance from Loyola College and series 63, 7, 9, 10, and 24 licenses.
Tell us where your reporting stands today — we'll map out exactly where Eqyance fits in.