Compliance


 

In the financial services industry, regulatory compliance is paramount. Weltman has been committed to conducting all business in accordance with the highest legal, ethical, and moral standards since its inception in 1930. We’ve had an in-house Compliance Audit department, led by a Compliance Officer, for more than 18 years. In that time, we have developed hundreds of comprehensive operating procedures, dozens of custom training programs covering FDCPA, SCRA, TCPA, and others, and sophisticated tracking and reporting tools – all proprietary to the firm and available to our valued clients.

Our Compliance Audit Team Includes:

  • Three Attorneys
  • Five Client Audit Staff Members
  • A Program Manager
  • An Executive Administrative Assistant

…and every single Weltman employee.

Each and every one of our employees receives mandatory compliance training, both at the time of hire and on an ongoing basis. Additionally, we closely monitor and routinely audit the actions of our employees, our network attorneys, and all third-party service providers to ensure they meet or exceed all state and federal laws and regulations as well as our clients' individual requirements. We also facilitate more than 50 client audits every year, welcoming our clients into our offices and our systems to demonstrate firsthand our commitment to their regulatory and security needs. 

We have no higher priority than ensuring our operations protect the firm, our clients, their consumers, and their sensitive information from any undue risk. Learn more about our security programs and credentials here.