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.

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 personnel 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.

Evaluation plans tailored for you

• Purpose-built inspection frameworks: Tailored to your unique compliance and operational needs; offering assessments that are focused and directly relevant to your organization.
• Multilayered evaluation techniques: Employ a mix of tailored questionnaires, structured interviews, documentation reviews, and site visits to build an initial enterprise-wide picture of each target’s capabilities and ongoing performance.
• Continuous monitoring protocols: Provide ongoing oversight through periodic assessments and surveillance, so you can identify and address issues before they escalate.
• Prioritized, actionable reporting: Deliver concise reports highlighting critical observations and clear next steps, enabling you to act quickly and effectively.

What you can expect

• Direct relationships with industry specialists who are focused on asset management, wealth management, insurance, broker-dealer, and capital market issues: Gain access to specialists with deep, practical knowledge who work to simplify complex challenges and provide tailored observations and guidance for your organization to consider.
• Real-time, data-driven insight: Leverage dashboards and analytics that enable you to track progress and have visibility into emerging risks.
• Detailed oversight: Benefit from ongoing due diligence and oversight of internal and external constituents.
• Proactive, adaptable support: Rely on responsive service that evolves with your business, helping you navigate industry and regulatory changes that could impact your internal operations and those of your critical service providers.
• Peer interaction with similar clients: Periodically connect with other Deloitte clients, via roundtables, that are designed to share emerging trends and insights and enhance your understanding of operational challenges and regulatory shifts that could impact your organization.

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.

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.

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 personnel 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.