NEXIOS BD Suite — For Introducing Broker-Dealers

The back office, the compliance office, and AML/KYC — in one system

No combined FinOp accounting, CCO compliance, and AML/KYC software exists for introducing broker-dealers today. The usual alternative is a spreadsheet, an outsourced FinOp, a separate AML vendor, and a separate CRM — four logins, each blind to what the others know. NEXIOS BD Accounting Suite and NEXIOS AML/KYC run as one system instead.

Request a demo See what’s included

Built by a former BD FinOp & CFO

Not a generic compliance vendor guessing at the regulations.

Checked against the rule text

Every computation verified line by line against SEC Rule 15c3-1, 17a-11, FOCUS and SIPC-7.

Real test coverage

265 automated tests on BD Accounting Suite; 800+ on AML/KYC — both with a tamper-evident audit trail.

Runs on your own machine

Your data never leaves it — not a hosted vendor platform.

Why most introducing BDs run on four vendors

A small introducing broker-dealer’s books and its compliance program usually live in completely different places: a bookkeeper or outsourced FinOp keeping net capital and FOCUS in a spreadsheet, a separate AML/KYC vendor for client onboarding, a CRM for the relationship, and a consultant for the WSP and trade surveillance — four systems, four logins, and nobody with one current picture of the firm.

We looked for a single product, from any vendor, that combines FinOp-grade net capital and FOCUS accounting with CCO-side compliance and AML/KYC, sized for an introducing BD and deployable in-house. We didn’t find one — the market splits cleanly along those three lines. NEXIOS BD Accounting Suite and NEXIOS AML/KYC are built to close exactly that gap, on the same books, with each team seeing only what belongs to their role.

SEE IT IN ACTION

Real screens from the live product

Investigation Workbench

Product one

NEXIOS BD Accounting Suite

The back office and the compliance office, in one system — the FinOp and the CCO/AML Officer each get their own login, on the same books.

The real NEXIOS BD Accounting Suite dashboard, right after sign-in

The back office

Net capital, computed live

Aggregate indebtedness and net capital are recomputed directly from the journal on every view — never a cached balance that can drift from the books.

FOCUS Part IIA, in whole dollars

Each line rounds half-away-from-zero the way it’s filed, with a rounding-difference row and a warning when a rounding choice flips a regulatory threshold.

17a-11 early warning & SIPC-7

Same-day and 24-hour notice triggers computed automatically from the current ledger position; the SIPC-7 worksheet is ready each assessment period.

Examiner export pack

A per-period XLSX workbook and a CSV/JSON bundle — trial balance, GL detail, net capital lines, FOCUS computations, the audit-log hash chain — with live formulas and a tie-out sheet.

A bridge off QuickBooks

Import a trial balance, map accounts once, reuse the mapping every month — for firms that keep their books in QuickBooks today.

RIA net worth & bonding

For dual-registered firms: the state net-worth-or-surety-bond minimum, tracked against the same books, with coverage and any deficiency shown alongside it.

The compliance office

Trade surveillance & OFAC screening

FINRA Rule 19-18 surveillance scans and OFAC/sanctions screening, with findings routed to the Compliance/CCO role, kept separate from financial data.

The FINRA Manual, searched in real time

Full-text search and grounded Q&A against the actual FINRA rulebook, not a short list of the most-viewed rules.

WSP, AML Program & Cybersecurity drafts

A questionnaire gated by your firm’s actual Form BD scope of business drafts a firm-specific starting document, grounded in FINRA Rule 3110, Rule 3310’s AML template, and SEC Reg S-P/S-ID.

A separate login for the CCO role

The FinOp sees the firm’s financials. The Compliance/CCO Officer sees surveillance, screening and the compliance manuals — and nothing financial. One system, two logins, no shared password.

Maker-checker on every sign-off

Journal approvals, capital-impacting account changes, and FOCUS/SIPC certification all require a second person — the preparer can’t sign their own work.

A practice layer for outsourced FinOps

One login, several client firms, each isolated — built for the FinOp who serves more than one introducing broker-dealer.

Product two

NEXIOS AML/KYC

Client onboarding and ongoing AML oversight — sanctions and PEP screening, identity verification, risk scoring, and a case file your CCO can hand to an examiner.

The real NEXIOS AML/KYC desk, right after sign-in — shown here with sample demo personas, not live firm data

Client onboarding & screening

Real sanctions & PEP screening

OFAC SDN, UN Consolidated, UK OGL and FinCEN Section 311 lists, plus PEP data, with name-matching rules tuned to cut false alerts without missing real hits.

FATF country-risk scoring

Grey- and black-list jurisdiction risk weighted into the score — never a blunt auto-block, always routed to review.

Document & liveness verification

OCR and MRZ checksum validation on a passport, license or ID card, plus a passive anti-spoofing check and an active head-turn-and-blink challenge on the selfie — each disclosed honestly for what it is.

Beneficial-ownership enrichment

Companies House and OpenCorporates lookups surfaced directly on the customer file for entity clients.

Risk, case management & oversight

Risk scoring, EDD & periodic review

A documented risk score with real factors, an enhanced due diligence workflow, and a periodic-review calendar so a file doesn’t go stale.

Separation-of-duties sign-off

Whoever opened or edited a case can never sign off on it themselves — a second, qualified principal always has to.

Firm & team sharing

A shared customer book across your team, with analyst, rep and principal roles — not a single-user silo.

Hash-chained audit trail & API

Every action is tamper-evident and exportable for an examiner. A public API lets a firm wire onboarding status and sign-offs into its own systems.

Pricing

Both products are quoted per firm, after a short conversation about what you need — an introducing broker-dealer, a dual-registered RIA, or a FinOp/compliance practice serving several firms. Email sales@polyapps-ai.com with your firm’s name and we’ll quote the bundle.

See it run on your own numbers, not a demo dataset

Tell us about your firm and we’ll walk you through both the back office and the AML/KYC program together, on your own books.

Request a demo

sales@polyapps-ai.com