Audit engagement
Suitability File Review
Focused audit of risk scores, investment objectives, and product alignment inside an existing wealth management suitability file.
Overview
When a wealth management application is already open but the suitability file feels thin, this review concentrates on whether stated objectives, risk tolerance, and proposed products still match. We do not redesign the portfolio; we audit the paper trail that justifies it.
Included
- Comparison of questionnaire answers with mandate risk language
- Check for outdated capacity or experience declarations
- Notes on products that appear outside the recorded risk band
- Short written memo for your compliance archive
Good fit when
You are preparing for a periodic review, a product switch, or an internal quality sample of suitability files tied to wealth management applications.
Discuss this engagement
Share the product line and how many application files need review.
Request a scope call