Compliance Wealth Management University

Professional education for wealth management firms—covering compliance, operations, technology, and advisory practice management.

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About CWMU

Compliance Wealth Management University provides practical training for professionals across all functions of wealth management firms—from compliance and operations to technology and advisory practice.

Our programs address the full spectrum of wealth management operations, recognizing that compliance, technology, client service, and business development are interconnected disciplines that require integrated understanding.

Training Programs

Comprehensive education across all aspects of wealth management operations

Compliance & Regulatory

SEC, FINRA, and state requirements, supervision frameworks, audit preparation, and regulatory filing procedures.

Operations & Workflows

Client onboarding, account management, trading supervision, transaction processing, and operational efficiency.

Technology Integration

CRM systems, portfolio management platforms, compliance software, data management, and automation tools.

Advisory Practice

Client communication, portfolio construction, investment policy statements, and financial planning integration.

Business Development

Practice growth strategies, marketing compliance, referral networks, and client acquisition frameworks.

Risk Management

Cybersecurity, business continuity planning, error resolution, and proactive risk identification.

Who Should Attend

Chief Compliance Officers and compliance staff at RIAs and broker-dealers

Operations managers and administrative professionals

Financial advisors seeking deeper understanding of firm operations

Technology leads responsible for systems integration

Practice management and business development professionals

Firm principals and partners building scalable operations

Learning Approach

CWMU programs emphasize practical application over theoretical concepts. Training includes real-world scenarios, case studies from actual wealth management firms, and hands-on experience with industry-standard software and tools.

Sessions are designed for working professionals, with flexible scheduling and content tailored to the specific operational models of RIAs, broker-dealers, and hybrid firms.

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