RIA Compliance Outsourcing
The “RIA Compliance Outsourcing” program is our most extensive program that involves our experienced professionals. Meet compliance veteran, Kevin Maas.
Wealth Management Compliance Alliance, through its staff of experienced consultants has the unique ability to provide proactive and hands on Compliance support customized to the unique compliance needs of your organization. The Compliance Outsourcing program is our most extensive program that involves our experienced professionals in the compliance function of your organization. In this program we take on most or all of the normal work of a Compliance Officer and provide hands on compliance guidance and leadership to your organization.
The regulatory environment continues to become more complex and more aggressive. The ongoing implementation of Dodd Frank required regulations, the focused attention to all actions related to anti-money laundering and the rise of the Consumer Financial Protection Bureau are all elements of the evolution of financial services regulation toward a law enforcement approach over the tradition supervision and support approach.
At the same time that regulatory pressure is becoming greater and more complex, two other business realities also exist. Financial pressure on most financial services organizations is near an all time high and even if the organization has the ability to add compliance staff, the availability of quality, experience compliance professionals is limited.
The Compliance Outsourcing program is a valuable means to obtain quality, experienced legal and compliance veterans to support or lead your compliance program for a fraction of the cost of one full time junior compliance staff member.