Senior Regulatory & Compliance Advisory: Bridging Compliance and Business Operations
CCO-level compliance leadership for broker-dealers, registered investment advisers, and fintech firms navigating complex regulatory environments.
Founded by a former CCO at a FINRA-registered broker-dealer and an SEC-registered investment adviser, with two decades of hands-on regulatory accountability, now focused on one outcome: protecting your firm while clearing the path for growth.
Protect the firm | Enable the business | Deliver practical solutions
Our Services
Every service offered by ClearLines Group is designed from a CCO's perspective, not a consultant's perspective. That distinction is the product of 20 years of direct operational accountability across the full arc of regulatory leadership.
Most compliance consultants advise from the outside. ClearLines Group builds from the inside out.
There is a meaningful difference between a consultant who understands the regulations and an executive who has carried full CCO accountability across two separately regulated entities, simultaneously. That difference is not a credential. It is a fundamentally different way of seeing risk, building programs, and protecting firms. It is what every ClearLines Group engagement is built on.
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Fractional CCO services that carry the full weight of regulatory accountability, not the appearance of it
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Compliance programs designed around how your firm actually operates, not how a framework assumes it does
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Examination readiness built by someone who has personally managed FINRA and SEC exam cycles from preparation through close
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Regulatory remediation led by a practitioner who has navigated complex SEC matters from initial inquiry to full resolution
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Strategic compliance counsel that integrates with your business objectives, not just your risk register
ABOUT CLEARLINES GROUP
Built by a CCO. For the Firms That Cannot Afford to Get It Wrong.
ClearLines Group, LLC is a boutique regulatory and compliance advisory firm built on a single conviction: the firms carrying the greatest regulatory exposure are often the ones with the least access to the caliber of compliance leadership that can protect them. CLG was founded to close that gap.
CLG was founded by Paranj Patel, CRCP, who served as Chief Compliance Officer of Pruco Securities, LLC, a Prudential company that operated as both a FINRA-registered broker-dealer and an SEC-registered investment adviser. In that role, Paranj carried simultaneous CCO accountability across both regulatory frameworks, with full program ownership, board-level reporting, and direct regulatory contact responsibility for FINRA and SEC examination cycles running concurrently. He also supported three additional Prudential broker-dealers through FINRA Rule 3110 supervisory examinations, AML examinations, and a broad range of regulatory inquiries. What distinguishes Paranj beyond his regulatory leadership is the operational depth he built alongside it. He built and led a 19-person FINRA Rule 3110 testing and surveillance team, designed supervisory frameworks covering more than 200 private offices and OSJs, led two full broker-dealer platform conversions from compliance design through go-live, while maintaining full supervisory coverage and compliance program integrity throughout both transitions, and oversaw the operational build of fee-based advisory and commission-based brokerage programs from the ground up. That combination of CCO-level regulatory accountability and hands-on business operational leadership, developed over more than 20 years at one of the largest firms in financial services, is the foundation every ClearLines Group engagement is built on.
CLG works with boutique and mid-size broker-dealers, registered investment advisers, dual-registered firms, and fintech companies navigating entry into regulated space. Every engagement begins the same way: a rigorous assessment of where the firm stands, where the regulatory risk lives, and what a durable solution looks like for that specific organization. No templates. No off-the-shelf frameworks. Programs that are built to reflect how the firm actually operates and are structured to hold up when it matters most.
Paranj Patel, CRCP | Founder and CEO, ClearLines Group, LLC
Ready to Build a Compliance Program That Holds Up When It Matters Most?
ClearLines Group works with broker-dealers, RIAs, and fintech firms across the New York and New Jersey market and nationally. Engagements are tailored to your firm's specific regulatory profile and needs.
There is no obligation and no sales pitch. There is a compliance professional with 20 years of CCO-level experience who will tell you exactly where your firm stands and what a path forward looks like.