Wealth Management Compliance Fact Sheet

Fiserv can help organizations meet new compliance and regulatory challenges more cost effectively. Modular implementation and phased delivery offers a flexible, low risk rollout. Fiserv partners with specialist providers to deliver in accordance with Australian regulations.


As regulatory and compliance legislation has increased, wealth management organizations can no longer afford a departmental approach to compliance. Operational inefficiencies drive costs up while the chance of human error, inconsistent processes and misplaced documents increases business risk.

Fiserv offers enterprise-wide management and control of wealth management activity and documentation with an automated wealth compliance platform. Fiserv provides an array of controlled options for viewing, annotating, revising and distributing advice documents while automating the management of compliance audits for multiple clients.

Additional capabilities include:

  • Management of approved product lists by client
  • Management and monitoring of issues such as incidents, breaches and complaints
  • Audit automation questionnaire population based on audit type, advisor and accreditation details

Have a question for us?

For more information on Wealth Management Compliance and other Fiserv solutions, call us at 800-872-7882 or contact us.

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