White Paper

Wealth Management Compliance Challenges in a Remote Work Environment

Our new remote work environment has magnified common pain points for many compliance teams. While some have adjusted to the “new normal” and are implementing processes to maintain continuity, others may be overlooking compliance risks for a variety of reasons.

Given the unique role of compliance, this paper looks at the key dimensions that require attention in the current environment.

This white paper examines:

  • Remote compliance challenges faced by wealth management firms
  • How to meet Regulation Best Interest, and future compliance regulations, remotely
  • Balancing the compliance risks with the opportunities

Contributing authors include:

  • Tom Selman, Founder, Scopus Financial Group
  • Ben Westin, Chief Compliance Officer, Regal Financial Group
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