Understanding the Compliance Investment in Financial Institutional Brokerage

With enhanced levels of risk management in banks and credit unions, coupled with increasingly restrictive securities regulations, it is not surprising that the cost of compliance and supervision for investment services in financial institutions has increased by one-third in the past three years. But, is this function appropriately resourced? Are the resources being deployed efficiently? 

Survey Objective

This survey targets the 50 largest banks with the objective of providing answers and analysis to these and other questions:

  • What is the magnitude of your compliance investment compared to peers, controlling for the scale of your investment services and product mix?
  • Have you allocated your compliance resources differently from industry norms?
  • Do you have the optimum principal to adviser ratio?
  • How have overall compliance expenses changed since last year's survey?
  • Has the cost of staff in different compliance roles changed?
  • How do the number of complaints you have experienced compare to others?
  • Compared to your peers, do you have an abundance of complaints in certain products?
  • What are the trends in number of complaints by product? By regulatory issue?
  • Licensing and registration?

Interested in Participating?

Contact Peter Bielan at This email address is being protected from spambots. You need JavaScript enabled to view it. for more information.

Why this Survey is Important

Accurate data are scarce and there is little consolidated, reliable analysis addressing this topic. With how important regulatory compliance is to the ongoing success of your business, this is an area that you have to get right. Knowing the answers to how your program is doing relative to others will enable you to take some comfort in your positioning, or identify adjustments to make before it is too late.