Ensuring your business stays compliant, secure, and audit-ready. We help companies identify compliance gaps, fortify controls, and demonstrate adherence to regulations with trusted audit practices.
Based in New Delhi, India • Trusted by international clients
Our compliance audit operations are based in India, enabling us to deliver consistent, cost-effective audit services while maintaining a strong focus on U.S. regulatory standards.
We work exclusively with U.S. markets and follow state-specific compliance frameworks. Our structured audit processes, standardized checklists, and documentation reviews are aligned with regulatory expectations across California, Florida, and Texas.
Expert compliance audit services with global insight, tailored to your needs in markets like California, Florida, Washington and Texas.
If you want clarity, consistency, and confidence in your compliance process, we’re here to help. It — Compliance Audit & Risk Assurance Ensuring your business stays compliant, secure, and audit-ready
We help companies identify compliance gaps, fortify controls, and demonstrate adherence to regulations with trusted audit practices.
At Coordinate It, we bring clarity, discipline, and precision to the complex world of compliance. Broker compliance is not optional — it is a regulatory requirement. Our Broker Compliance Audit services are designed to help brokerages maintain accurate records, meet state‑level compliance standards, and remain prepared for regulatory reviews at all times.
We provide structured, independent compliance audits for brokerages operating in California, Florida, Washington and Texas, helping you identify deficiencies before they turn into violations
Broker compliance is a regulatory requirement, not an option. Our compliance audit services are designed to help brokerages maintain accurate records, meet state-level compliance standards, and remain prepared for regulatory reviews at all times.
A broker compliance audit is a structured review of your brokerage’s transaction files, documentation, and internal processes to ensure adherence to applicable state and federal regulations.
Our audits focus on verifying whether files, disclosures, policies, and record-keeping practices meet regulatory expectations. The objective is to identify gaps, reduce exposure, and support audit readiness.
We review closed and active transaction files to ensure all required documents are present, properly executed, and retained according to regulatory timelines.
We verify that mandatory disclosures, agreements, and addenda are correctly completed and stored in compliance with state laws.
We assess whether your internal policies and procedures align with regulatory expectations and actual operational practices.
We evaluate file organization, retention practices, and audit trails to confirm readiness for regulatory or internal audits.
Our audits are tailored for brokerages operating in:
Each state has unique regulatory requirements, and our reviews are structured accordingly.
Broker-owners and managing brokers
Small to mid-size brokerages
Brokerages preparing for regulatory audits
Firms without a dedicated in-house compliance team
Brokers seeking an independent compliance review