Compliance & Expert Advisory
Technology decisions in wealth management are fiduciary decisions. We help firms align platform choices, operational controls, and documentation with regulatory expectations — grounded in decades of trust accounting operations, not generic compliance checklists.
What we examine
- Fiduciary technology standards mapped to your platform capabilities
- Operational controls across fee calculation, reconciliation, and exceptions
- Audit trail and recordkeeping adequacy for examination review
- Examiner-readiness of documentation and evidence trails
- Policy-to-practice gap analysis across technology and operations
- Segregation of duties and access control alignment with fiduciary duty
- Remediation priorities with realistic timelines and ownership
What you receive
- Written readiness assessment with gap analysis and risk ratings
- Examiner-ready documentation recommendations and evidence mapping
- Executive summary for leadership and compliance committees
- Follow-up advisory session to walk through remediation priorities
Who this is for
RIAs, trust companies, multi-family offices, and wealth platforms evaluating or operating technology at fiduciary standard.
Request a consultation
Independent, confidential review — on your side of the table.
Request a consultation