Asset Management Consulting Services

Managing complex investment strategies in volatile markets and controlling costs in an uncertain economy are some of the challenges facing asset managers. They must also continue to maintain effective controls, compliance and manage risk. In this fast paced and rapidly evolving arena, investment companies and asset managers need to be nimble to respond to the challenges of new and existing regulations, complex investment strategies, digital assets, industry consolidation, and pressure to reduce costs and headcount.

Weaver’s Asset Management Consulting team can assist retail and alternative asset managers to create value by building the organizational strength and capacity to thrive in today’s competitive environment. We serve:

We provide internal audit, regulatory compliance, risk and management consulting services for investment advisors and asset managers of any size. Look to Weaver for:

  • Internal Audit capabilities across the asset management lifecycle covering mutual funds, ETFs, pension funds, private funds and other investment vehicles. We have experience conducting risk assessments, building audit plans, executing control and advisory reviews, and developing audit analytics/continuous monitoring for portfolio management, trading, operations, ESG, compliance, and distribution.
  • Compliance program management services to assist the CCO and Compliance teams with developing and assessing SEC / FINRA / CFTC / international compliance programs including policy development, monitoring and testing programs, risk assessments, trade surveillance, conflicts of interest, anti-money laundering / BSA compliance, and process transformation.
  • Consulting services to help asset managers and investment advisers address enterprise risk management, adviser due diligence, third party risk ESG assessments, fraud detection and prevention, workflow and policy development, business transformation, and process efficiency.

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