FOR BROKER-DEALERS

Regulatory reporting,
orchestrated.

Turn repetitive reporting, reconciliation, exception review, and evidence work into controlled workflows — while keeping your FINOP, finance, and compliance teams in review and sign-off.

Book a 20-minute workflow discussion See how the first evaluation works →

No production access. No customer data. No reporting files required for the first evaluation.

Reporting workflow Review-ready

InputsStructured source data & schedules

Captured

Checks & reconciliationsRules, tie-outs & exception logic

Automated

ExceptionsClear items requiring judgment

3 flagged

Human reviewFINOP / finance / compliance approval

Required

Every step leaves a reviewable trail.

THE PROBLEM

Critical reporting work shouldn't depend on a maze of spreadsheets, handoffs, and memory.

Manual preparation

Recurring schedules, calculations, and reconciliations consume experienced team capacity.

Scattered evidence

Support, comments, approvals, and exceptions can live across files, inboxes, and folders.

Key-person dependency

Important process knowledge often sits with the people who know how the reporting cycle really works.

WHAT WE'RE BUILDING

A controlled workflow layer around broker-dealer reporting.

FOCUS preparation

Organize recurring inputs, calculations, checks, supporting schedules, and review steps.

∆

Net capital workflows

Structure calculations, supporting evidence, exception handling, and reviewer checkpoints.

↔

Reconciliations

Coordinate clearing, accounting, and other recurring tie-outs with visible exceptions.

✓

Controls & evidence

Keep approvals, notes, supporting evidence, and an audit-friendly process history together.

RegOrchestra is workflow automation software. It does not replace the judgment, supervision, or required sign-off of your firm's qualified professionals.

A LOWER-TRUST FIRST STEP

See the workflow before you share the data.

Evaluating a new vendor shouldn't require handing over sensitive regulatory information on day one.

Describe one workflow

In a short conversation, tell us at a high level where a reporting or reconciliation process is more manual than you'd like. No underlying values or files needed.

We prototype with synthetic data

We model the mechanics using dummy data — including checks, exceptions, reviewer controls, and an audit trail.

Your team evaluates it

Judge whether the workflow is materially useful before making any decision about data access, integration, or vendor onboarding.

Then scope a controlled pilot

If there's a fit, we can discuss NDA, security review, success criteria, and the minimum information required for a narrowly scoped pilot.

DATA APPROACH

Start with zero sensitive data.

For an initial RegOrchestra evaluation, your team does not need to provide production credentials, customer information, positions, balances, completed regulatory workpapers, or historical filings.

FIRST EVALUATION

✓ High-level workflow discussion
✓ Blank templates or synthetic data
✓ No production-system connection
✓ Human review remains in the loop

WHY REGORCHESTRA

Built from a decade of fintech experience — for the operational reality behind regulatory reporting.

RegOrchestra is an early-stage company focused on a specific problem: experienced finance and compliance professionals spend too much time moving information between spreadsheets, systems, reviewers, and evidence. We're building software to make that work more controlled, repeatable, and reviewable.

START SMALL

Show us one workflow.
We'll show you what can be automated.

No sensitive data required for the first conversation or prototype.

Start a workflow discussion

Regulatory reporting,orchestrated.