Compliance executive, operations leader, and process specialist.
Compliance executive, operations leader, and process specialist.
Written Supervisory Procedures (WSPs) are the foundation of an effective compliance program for broker-dealers and investment firms. Regulators expect WSPs to clearly document how a firm supervises its business activities, manages risk, addresses conflicts of interest, and ensures adherence to applicable securities laws and regulations. DuMont Consulting provides comprehensive WSP review, updates, and customization services designed to ensure your supervisory framework is accurate, current, and aligned with your firm’s actual operations.
Our team conducts a detailed assessment of your existing WSPs to identify gaps, outdated language, inconsistencies, and regulatory vulnerabilities. We evaluate whether procedures truly reflect how supervision is performed in practice, not just how it appears on paper. This includes reviewing supervisory hierarchies, escalation protocols, surveillance processes, recordkeeping requirements, and internal controls. Where deficiencies are identified, DuMont develops clear, enforceable procedures that regulators can easily follow during examinations.
DuMont Consulting specializes in customized WSP development, tailoring procedures to your firm’s specific business model, product offerings, client base, and risk profile. Whether your firm engages in retail brokerage, advisory services, options trading, private placements, or hybrid activities, we ensure your WSPs are proportionate, practical, and defensible. This customization reduces regulatory risk, enhances supervisory effectiveness, and supports consistent firmwide compliance.
Integrated within our outsourced CCO services for investment firms, WSP maintenance becomes an ongoing, proactive process rather than a one-time project. As regulations evolve, business lines expand, or supervisory expectations change, DuMont updates your WSPs to remain examination-ready at all times. This continuous oversight helps firms avoid common regulatory findings related to outdated procedures, weak supervision, or misalignment between written policies and actual practices.
By partnering with DuMont Consulting, firms gain confidence that their Written Supervisory Procedures are not only compliant, but operationally effective, regulator-ready, and scalable for future growth
