How we help you
Assurance is more crucial than ever as financial services organizations seek to build greater confidence with customers, members and regulators.
Leverage sector-specific services for custody, internal and single audits.
Access customized, risk-based financial statement audits and reviews.
Strengthen stakeholder confidence with experienced compliance support.
Address assurance needs beyond financial reporting.
Gain insight from your assurance
Wipfli leverages our strong CPA foundation and financial services industry experience to take assurance further, giving you valuable insight into performance, processes and your organization’s overall health.
Explore our services
Wipfli has nearly 20 years of experience in performing custody audits in the broker dealer and wealth and asset management industries. Our custody audit process provides all the right components for you to satisfy your obligations, and our proven tools help us perform testing in an efficient manner, limiting disruption.
Wipfli keeps the focus of our review or audit on the critical issues facing your organization. We take a customized, risk-based approach that incorporates our experience in the financial services industry and business practicality so that we use your time and resources efficiently.
Wipfli uses our extensive experience and known frameworks to provide you with SOC 1, SOC 2 and SOC 3 services. Our team can also help evaluate your preparedness and controls against the Cloud Controls Matrix with a SOC 2+ audit.
Wipfli brings practicality and objectivity to every PCAOB audit. As a registered auditor with the Public Company Accounting Oversight Board, we’re ready to help SEC issuers and broker dealers manage their compliance challenges.
Wipfli’s internal audit services provide more than just a list of items that need fixes. We guide you in practical solutions and industry best practices based on the latest regulatory guidance. With our help, you can focus your resources on your management and board’s highest priorities.
Experience a smooth single audit process with Wipfli. Our professionals help meet your needs for accountability and transparency with dedicated services, including support for Uniform Guidance, that go beyond financial statements to help ensure your processes and systems stay in compliance.
Wipfli’s team brings experience in conducting over 700 employee benefits plan audits to help your organization better adhere to fiduciary responsibilities and maintain compliance.
Wipfli can meet your assurance needs beyond financial statements with attest services, including third-party validation and agreed-upon procedures. We’re ready to help remove doubt and bring clarity and efficiency to processes such as SEC custody exams, contract compliance and director exams.
Insights and resources
EVENT | December 9, 2026
CFO Roundtable: Prepare your financial institution for 2027 and beyond
Staying compliant today requires looking ahead to the regulatory and reporting expectations of tomorrow. Join us from 12:30-2:00 pm CT on December 9 for the CFO Roundtable, a forward-looking learning opportunity for chief financial officers, chief risk officers and other accounting leaders. This…
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How to validate CECL compliance | Wipfli
Validate your CECL compliance program with practical approaches that include backtesting, assumption testing, peer comparisons and third-party review.
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Avoiding adjustable-rate mortgage loan compliance challenges
Avoid adjustable-rate mortgage compliance challenges by reviewing ARM disclosure timing, rate calculations, indexes, caps and adjustment notice requirements.
Reach out to our team
See how we move beyond compliance to help you uncover insights that strengthen operations, controls and organizational health.
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See how Wipfli’s collaborative approach can help your organization turn regulatory, operational and technology challenges into opportunities for growth and resilience.
