“Fractional Supervision Full Accountability"
MissionStatement
To empower broker-dealers, RIAs, and offshore
advisors with executive-level fractional supervision, precise, hands-on, and tailored to your frims specific regulatory environment. We operate across borders, deliver in English and Spanish, and bring the depth of a full-time CCO without the full-time cost.
Who You'll Be Working With
When you engage JJCL, you're working directly with a FINRA Series 24 principal with 30 years of industry experience, including 17 years within Citigroup's investment securities line of business, spanning both domestic and international markets, with a primary focus in Latin America
That background is the foundation of everything JJCL delivers. You get executive-level judgment built inside one of the world's largest financial institutions, applied directly to your firm's specific regulatory environment.
We specialize in cross-border compliance — a space where regulatory requirements are more complex, the margin for error is smaller, and generic solutions fall short. Our bilingual service (English-Spanish) covers every engagement, wether you're preparing for a FINRA brings executive-level judgment to every engagement, whether you’re preparing for a FINRA exam, building a supervision framework from scratch, or managing offshore advisor relationships.
Fractional does not mean hands-off. Every client gets direct, accountable partnership with practitioners who have sat in the seat.
What We Do
Six core service areas. Each one is built to address a specific compliance gap, and designed to scale with your firm
Fractional Securities Supervision
Series 24 oversight, supervisory reviews, escalation handling, surveillance review, and workflow governance. We function as your on-call principal — without the full-time overhead.
Fractional CCO Program
Custom policies, procedures, and WSP modernization built to your firm’s actual risk profile. We build the framework, own the process, and keep it current.
RIA Compliance Oversight
Streamlined controls and smarter supervision for RIAs. We help your advisory operations grow with confidence, not compliance drag.
Broker-Dealer Risk Mitigation
Targeted risk assessments and regulator-aligned solutions that reduce your exposure before an exam — not after.
Cross-Border & Offshore Advisory Supervision
Supervision built specifically for international advisors operating across borders. We bring clarity, accountability, and reliable cross-border compliance to a space where most firms are underserved.
Regulatory Compliance Audit
SEC and FINRA examination readiness from the inside out. We manage documentation preparation, gap analysis, and remediation leadership so your firm walks in prepared and walks out confident.
What Sets JJCL Apart
✔ Executive-level compliance expertise — without the full-time cost
✔ Audit-ready frameworks and seamless onboarding from day one
✔ Bilingual service (English-Spanish) for domestic and international firms
✔ Deep cross-border expertise for offshore advisors and hybrid structures
✔ Proven preparedness: 100% client success rate in external regulatory audits
✔ Hands-on accountable partnership, fractional does not mean hands-off
30
Years of Specialized Regulatory Leadership and Supervision
100%
Client Preparedness Rate in External Regulatory Audits, across every SEC and FINRA examination .
Your next exam is closer than you think.
JJCL helps broker-dealers, RIAs, and offshore advisors get — and stay — audit-ready. Let’s talk about where your firm stands.
FRACTIONAL SUPERVISION - REGULATORY EXAM READINESS - OFFSHORE ADVISORY - FRACTIONAL CCO - RISK MITIGATION - BILINGUAL SERVICE -