Compliance

Security and compliance are as important to us as it is to our clients.

BWA is committed to maintaining its reputation and the reputation of its clients by adhering to the highest standards in compliance. We go above and beyond to comply with the constantly changing regulatory requirements, including federal and state consumer financial protection laws.

BWA has established an extensive Compliance Program with internal policies and procedures, oversight of our agent network, and compliance with applicable laws, regulations and client requirements.

We also utilize the compliance management services from companies such as VTS and MBSi.  These partners assist in the oversight of our agent network, ensuring that our entire network is fully compliant at all times.

Data Security 

Bell and Williams Associates (BWA) Compliance Management System (CMS)

BWA maintains a comprehensive Compliance Management System with extensive management oversight that includes a dedicated Compliance Officer on staff, rigorous employee & vendor compliance training, a robust vendor management program and a commitment to ensuring a strong information security and privacy program. 

Internal Employee Training and Background Checks:

All employees at BWA participate in a comprehensive annual training program that includes all Federal and State industry related laws and regulations. Extensive background checks are performed as part of the onboarding process.

Pro-Active Vendor Oversight and Management

All BWA Vendors go through an extensive due diligence and risk assessment screening before any services are performed. Each vendor is required to have an expected level insurance coverage, regular physical site inspections, employee training along with strong procedures that include compliant processing and resolution. Vendors are consistently monitored for recovery performance and program compliance.


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