Due Diligence and Inspection Managed Services
Scalable solutions for today’s compliance and operational demands
Today, organizations continue to face stringent expectations for oversight and risk management, spanning every aspect of business—from oversight of business relationships with external service providers to supervision of persons who may work remotely and at branch offices. Addressing these demands requires elevating due diligence and inspection oversight activities from routine check-the-box tasks into genuine sources of value and differentiation. This calls for solutions that go beyond standard processes—ones that are smarter and more adaptive.
That’s where Deloitte comes in. Our Due Diligence and Inspection Managed Services offer a purpose-built platform for flexibility, scalability, and tangible outcomes, helping you to enhance internal governance and confidently evaluate your most important service providers and gain confidence that your supervised persons are fulfilling regulatory obligations in a manner that meets expectations.
Solutions that empower confidence and compliance
Backed by Deloitte’s demonstrated experience and industry-leading resources, we go far beyond the basics. We work with organizations across the financial services spectrum—including asset managers, wealth managers, insurers, banks, broker-dealers, and more—delivering actionable insights and tailored solutions to help them navigate regulatory change, streamline initial due diligence and ongoing oversight, and gain greater visibility into operational and regulatory risks that may be associated with a firm’s business strategy. With Deloitte at your side, you can unlock the benefit of our experience and forward-thinking approach, helping you adapt to evolving risks, manage service provider relationships, strengthen oversight controls, and make informed decisions that further a firm’s business strategy.
End-to-end due diligence and evaluation
Each managed services engagement begins with an assessment of your organization’s specific operational, regulatory, and strategic needs. Based on these priorities, we tailor our evaluation process to target the areas of greatest impact. These priorities can be focused on service providers that support a firm’s extended enterprise or, alternatively, branch office reviews to confirm regulatory compliance and adherence to policies and procedures by supervised persons who are involved in the sale of securities and/or insurance products. This leads to stronger risk management and oversight, increased resilience, and scalable growth, which aligns with regulatory expectations and obligations.
Broad due diligence and inspection managed services
What sets our services apart
Deloitte delivers a distinctive advantage through its broad digital infrastructure and collaborative mindset. Our clients benefit from a secure, unified workspace designed to facilitate clear communication and efficient teamwork—no matter the challenge or scale. Yet it is the strength and multidisciplinary capabilities of our specialized practitioners, each seasoned in real-world asset management, wealth management, insurance, broker-dealer, and capital market issues, that truly set us apart. By leveraging our team’s extensive operational and regulatory experience, we provide clients with actionable insights that can drive meaningful results for an organization.
Seamless onboarding and ongoing support
Getting started with Deloitte is straightforward and supported every step of the way for both your internal team and external service providers. Should any questions or issues arise, our team is available to provide prompt assistance.
Technology-enabled delivery
Deloitte integrates purpose-built technology to enhance the service delivery of our managed services:
- Our licensed software-as-a-service platform centralizes ongoing management of questionnaires and documents and supports responses—from either supervised persons or service providers—and provides role-based access, audit functionality, and secure data exchanges.
- Standardized dashboards and reporting capabilities allow our clients to have real-time access to engagement status, identified risks, and provided documentation.
