Compliance & Risk
Wealth Firm Diagnostic Tool™
A niche diagnostic focused entirely on your firm's compliance posture and technology-related risk exposure — surfacing gaps before they become regulatory issues or operational liabilities.
About this diagnostic
The Compliance & Risk Wealth Firm Diagnostic Tool™ provides a structured assessment of your firm's compliance infrastructure and risk environment. Regulatory expectations for wealth management firms continue to evolve — and the technology that supports compliance is often the last to be updated. This diagnostic identifies where your firm is exposed and what it would take to close those gaps.
What this diagnostic covers
Compliance Technology Stack
A review of the tools supporting your compliance function — surveillance, archiving, supervision, and reporting — and whether they are configured to meet current regulatory expectations.
Communications Archiving & Supervision
An assessment of how your firm captures, archives, and supervises electronic communications — including email, text, and any third-party messaging platforms in use.
Data Security & Cybersecurity Posture
A review of your firm's cybersecurity infrastructure — access controls, endpoint protection, incident response readiness, and vendor security practices.
Regulatory Reporting & Documentation
An evaluation of your firm's processes for regulatory filings, documentation maintenance, and audit readiness — identifying gaps that create examination risk.
Third-Party & Vendor Risk
An assessment of the compliance and security posture of the vendors your firm relies on — and whether your due diligence and oversight processes meet regulatory expectations.
Business Continuity & Disaster Recovery
A review of your firm's business continuity plan and disaster recovery capabilities — assessing whether they are current, tested, and sufficient for your operational profile.
What you receive
Ready to go deeper?
If compliance and risk is the area where your diagnostic pointed, this is where we go deeper. Request access and a member of our team will walk you through what this niche diagnostic would surface for your firm.