Strength in Compliance. Precision in Markets.
Strategic compliance and risk advisory for broker-dealers, trading platforms, and cross-border institutions operating in complex markets.
About Granite Point Consulting
Granite Point Consulting was established to advise financial institutions operating at the intersection of regulatory rigor and market execution.
We bring deep expertise in U.S. broker-dealer regulation, fixed income markets, ATS oversight, surveillance architecture, and supervisory frameworks — grounded in real trading and operational experience.
Our work supports boards, senior management, and compliance leaders navigating regulatory scrutiny, business growth, and structural change. We strengthen governance, enhance control environments, and deliver regulator-ready programs aligned to commercial realities.
Granite Point Consulting provides the strength, clarity, and precision required to operate confidently in complex and highly regulated markets.
Regulatory coverage includes supervisory frameworks and engagement across the SEC, FINRA, FCA, CFTC, NFA, MAS, and ASIC.
Regulatory and Compliance Expertise
Regulatory & Compliance Expertise
Strategic advisory across global regulatory frameworks, market infrastructure, and enterprise compliance governance for financial institutions operating in complex regulatory environments.
Cross-Border Regulatory Governance
Advising global financial institutions navigating supervisory frameworks across the U.S., UK, EU, and APAC, including regulatory engagement and governance design.
Compliance Program Architechture
Design and enhancement of supervisory frameworks, control environments, and regulatory governance programs aligned to evolving supervisory expectations.
Market Structure & Electronic Trading
Oversight of electronic trading platforms, ATS environments, market surveillance, and regulatory reporting frameworks across complex market infrastructure.
Financial Crime & Sanctions Governance
Institutional AML, sanctions, and financial crime frameworks supporting risk-based compliance oversight and regulatory resilience.
Regulatory Examinations & Supervisory Engagement
Preparation and strategic advisory for regulatory examinations, remediation programs, and supervisory dialogue with global regulators.
Regulatory Change & Program Transformation
Strategic implementation of regulatory change initiatives and modernization of compliance programs across global financial institutions and market infrastructure providers.
Our Advisory Services
Broker-Dealer Advisory
SEC and FINRA supervisory frameworks, governance design and regulatory architecture.
Regulatory Exam & Remediation
SEC and FINRA examination preparation, remediation strategy, and program recalibration.
Surveillance & Control Architecture
Design and enhancement of surveillance and reporting frameworks.
Regulatory & Risk Advisory
Board reporting structures, governance enhancement, and control strengthening.
Market & Trading Oversight
Fixed income markets, ATS environments, execution protocols, and supervisory controls.
Compliance Transformation
Strategic modernization of compliance programs aligned with evolving expectations.
Client Profile
We advise sophisticated firms operating at the intersection of market access, regulatory architecture, and governance discipline.
Rule 15a-6 Firms
Foreign broker-dealers requiring compliant U.S. market access through durable supervisory architecture capable of withstanding regulatory scrutiny and future reform.
Boutique & Small Footprint Firms
Boutique, DVP/RVP, and small-footprint firms operating in institutional markets with complex supervisory, capital, and reporting obligations.
Cyber, Data & Governance Modernization
Firms modernizing cyber risk, client data privacy, AI governance, and third-party risk management frameworks to meet evolving supervisory expectations.
Cross Border Firms
Financial institutions operating across jurisdictions navigating U.S. regulatory reach, supervisory expectations, and multi-regime compliance architecture.
ATSs & Trading Platforms
Alternative trading systems and electronic venues requiring structured market oversight, surveillance architecture, and regulator-ready control frameworks.
Supervisory & Regulatory Resilience
Firms strengthening governance structures, internal control frameworks, and regulatory readiness to operate confidently under heightened scrutiny.
Schedule a Consultation
Discuss how your firm can navigate U.S. regulatory architecture, cross-border market access, and evolving supervisory expectations.