Trustee and Compliance

The Center of Risk Management and Regulatory Change for Your Firm

The world of compliance is not binary. Our clients are faced with the difficult task of managing their businesses in a world heavily regulated by multiple entities: FINRA, SEC, IRS, DOL, state or federal insurance agencies, banking regulators, etc. With responsibility for interpretation of regulations on behalf of the firm, managing the custody of assets, reporting, document management or general compliance oversight, the Compliance and Legal teams are at the crux of managing a significant amount of risk for the firm.

With the host of regulatory and legislative activity in our current environment, including the proposed DOL fiduciary rules and the influx of states exploring state-mandated IRA programs, organizations will need to be prepared to adapt and respond proactively.

Having held the officerships, licenses and titles which put these responsibilities on our shoulders in the past, BridgePoint has helped financial service organizations improve their confidence in effectively managing the challenges of these complex environments. We are able to lend practical expertise in moving your organization from legislative intent to operational reality.

Some examples of our prior engagements include:

  • State Mandated IRA Program Strategy and Implementation
  • DOL Fiduciary Regulations Guidance and Business Impact Assessment
  • Risk Management Assessments
  • Trust & Custody Operations Improvements
  • Compliance Support
  • Prototype Restatement Management
  • Voluntary Compliance Resolution Programs