--- title: Bank Broker Dealer | Due Diligence Works description: Bank Broker Dealer | Due Diligence Works --- [Skip to content](https://www.duediligenceworks.com/bank-broker-dealer#main-content) [![DDW logo](https://www.duediligenceworks.com/hubfs/DDW-LOGO-COLOR.png) ](https://www.duediligenceworks.com/home-old) - [About DDW](https://www.duediligenceworks.com/about-us) - [Due Diligence](https://www.duediligenceworks.com/due-diligence-due-dili-works-ddw) - Reg Tech - [For Advisors](https://www.duediligenceworks.com/reg-tech-reg-works-advisors-rias) - [For Enterprises](https://www.duediligenceworks.com/reg-tech-reg-works-enterprise) - [Insights](https://www.duediligenceworks.com/insights) - Client Login - [Research Portal](https://portal.duediligenceworks.com/login) - [RegReady Pro](https://regreadypro.duediligenceworks.com/) # Bank Broker Dealer ![Banner Image](https://www.duediligenceworks.com/hs-fs/hubfs/Due_Diligence_Works_August2018%20Theme/Images/banner-image.jpg?width=561&height=271&name=banner-image.jpg) ##### We get it, we have been in your seat. We understand the intricacies of working within Bank structures. We provide Due Diligence services to meet today’s regulatory environment, provide a broader industry perspective, and allow you to focus on your strategy. ### Product Shelf Set-Up - Review and perform due diligence on your product shelf - Support acquisitions and review overlaps - Identify issues or concerns and bring recommendations to product and risk committees - Compare your current products to industry products, making replacement recommendation where appropriate - Identify gaps in your offering and recommend new products to fill gaps - Ensure your product shelf is compliant, best in class, and ready for today’s market environment - This is done by each product line ### Proactive Due Diligence - Review your current product shelf to ensure appropriateness by monitoring track record, tenure, complexity, and assigning risk parameters to the product - Provide quarterly due diligence update reports that, when married with sales reports, provide a true picture to grow your business and mitigate risks - Perform annual deep dive due diligence reviews - Provide Always on due diligence monitoring of product changes, industry changes, client changes, and provider changes - Support your product committee with periodic reviews, documentation, & expertise, helping you get to the right answers in an efficient manner ### Product Shelf Management - Ensure Best Interest Advice can be provided through the best product shelf - Actively manage onboarding and removing products to align with today’s environment, your Advisor expertise, and client needs…with the expectation of increasing revenue - Add products that are expected to fill a gap, grow revenue, and provide better advice, minimizing overlap and product cannabilization - Prepare material for product committee and provide real time answers to questions, shortening decision time - Provide insights on the industry regarding new products, sales trends, risk points # Meeting Reg BI Standards ### For Your Risk and Compliance Team The DDW Risk, Trend, Fit Compliance Process ensures your products meet the Impartial Conduct Standards. ### For Your Product Team Use our Product Q2 Comparison Matrix to create a "High Conviction" product shelf that will stand up to the external regulators and the internal auditors. ![Product Team](https://www.duediligenceworks.com/hubfs/Due_Diligence_Works_August2018%20Theme/Images/8efc68_912043ad384644ac879b29e36cf17479_mv2.png) ### For Your Surveillance and Supervision Team Your sales supervision team can use our Product D2 Reports to make sure your Advisors are recommending the right products. ### For Your Advisors • Make it easy for Advisors to compare products. • Help advisors match client need to the best products in a repeatable and scalable way. • Demonstrate to the regulators that you have made substantial efforts to educate your Advisors about their product choices. ![Your Advisors](https://www.duediligenceworks.com/hubfs/Due_Diligence_Works_August2018%20Theme/Images/8efc68_a4e1b77569c045b38990788b20495cdf_mv2.png) [![DDW Logo](https://www.duediligenceworks.com/hubfs/Email%20Design_Horizontal%20Logo.png) ](https://www.duediligenceworks.com/) 973 852 3880 20 Van Vleck St Montclair, NJ 07042 - About - [About DDW](https://www.duediligenceworks.com/about-us) - [Contact](https://www.duediligenceworks.com/contact) - [Leadership](https://www.duediligenceworks.com/about-us#leadership) - [Privacy Policy](https://www.duediligenceworks.com/privacy-policy-ddw) - [ADV](https://www.duediligenceworks.com/hubfs/20250501%20ADV%20Part%202A%20-%20Due_Diligence_Works_Inc.pdf) - Services - [Due Diligence](https://www.duediligenceworks.com/due-diligence-due-dili-works-ddw) - [Advisor Reg Tech](https://www.duediligenceworks.com/reg-tech-reg-works-advisors-rias) - [Enterprise Reg Tech](https://www.duediligenceworks.com/reg-tech-reg-works-enterprise) © 2026 by Due Diligence Works, Inc. 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