Trust Compliance Retainer.
Wealth Management Compliance Alliance has the unique ability to provide proactive and hands-on Compliance support customized to the specific Compliance needs of your Trust Department or Company. The Compliance Retainer Program, for a flat quarterly fee, designates one of our experienced professionals to work directly with you to provide support and guidance customized to your needs.
In this program you will:
- work directly with an experienced professional during two visits to your organization per year to identify and address your most pressing compliance needs,
- have direct access to an experienced professional, via phone or email, for assistance and guidance with your specific regulatory and compliance needs,
- utilize an experienced professional to review your compliance monitoring reports on a monthly, quarterly and annual basis providing comment and recommendations on compliance concerns and trends,
- receive a quarterly compliance commentary produced by WMCA, and
- obtain a 10% discount on other consulting services provided by WMCA, such as:
* Policy, Supervisory Procedures and Code of Ethics Review and Updating
* Compliance Staff Training
* Examination remediation
* Mock Examination
At the same time that regulatory pressure is increasing and more complex, the availability of quality, experienced compliance professionals is limited. The Compliance Retainer program is a valuable means to obtain hands on support from experienced industry veterans to support you in managing your Trust compliance program.