RNDIP Check Up by Due Diligence Works
From Full Sevice to a' la carte - DDW can help your RNDIP committee
DDW's RNDIP Check Up Services
Our RNDIP monitoring services deliver a comprehensive, ongoing review of your program’s key risk and performance areas, aligning your operations with evolving regulatory expectations. These are the functions your outsourced broker dealer does not provide your bank as your BD focuses on SEC and FINRA compliance, not OCC bank requirements.
We support your institution through:
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Product Mix Analysis: Ensure a balanced and suitable offering across annuities, life insurance, mutual funds, and alternatives.
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Platform Reviews: Evaluate annuity and mutual fund platforms for efficiency, compliance, and advisor alignment.
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Sales Oversight: Monitor advisor activity through scorecards and commentary, highlighting trends and areas of concern.
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Complaint Auditing: Track, score, and contextualize customer complaints to identify emerging issues.
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Financial Reporting: Stay informed with clear, insightful financial updates on profitability and trends.
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Program Risk Insights: Understand and proactively manage product and sales-related risks.
Whether navigating an audit, preparing for an exam, or looking to elevate program governance, DDW is your trusted partner.
👉 Let’s talk about how we can support your RNDIP strategy.