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Wealth Management

Wealth Management Compliance Services

We understand that the changing landscape of the financial industry has placed additional scrutiny on firms and traditional financial institutions that offer Wealth Management services to clients under an exception to registration as a RIA or broker/dealer.

At Hamilton Associates, P.C., we have the background and experience in Personal Trust, Corporate Trust, Employee Benefits, Trust Operations, Trust Tax and bank affiliated RIA or broker/dealer to help assist our clients in meeting their Fiduciary obligations while satisfying the oversight of multiple regulators including the OCC, Fed Reserve, FINRA, SEC, IRS, DOL as well as state banking, finance and security regulators.

We offer the following services to our Wealth Management clients:

  • Policy and Procedure Development and Review
  • Risk Assessment Development, Review and Testing
  • BSA Policy and Procedure Development and Review
  • Operational Controls and Testing
  • Access Person Trading Review
  • Quarterly Testing Review
  • Audit Preparation Assistance
  • Best Practices Knowledge and Implementation
  • Updates as to regulatory changes and develop tailored to your firm

To discuss the specific needs of your firm or to inquire as to particular services, please contact us at ehamilton@hamiltonassociatescpa.com or call us at (712) 322-0277 and ask to speak to Eric Hamilton.