Gain insight from your assurance
Assurance is more crucial than ever as financial services organizations seek to build greater confidence with customers, members and regulators.
Audits are a critical part of helping you enhance transparency, reduce risks and access more valuable financial reporting. But with the right auditor, you can take assurance further, gaining valuable insight into performance, processes and your organization’s overall health.
Wipfli’s audit and assurance for financial services team is ready to give you that insight, helping you make faster, better decisions for your organization.
Why Wipfli?
Wipfli leverages our strong CPA foundation and financial services industry experience to help you find new opportunities to drive growth and optimize performance. As one of the country’s top advisory firms, we don’t just provide assurance — we provide actionable recommendations for how you can strengthen your organization.
How we can help
Custody auditWipfli 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. |
Internal auditWipfli’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. |
Financial statement audit and reviewWipfli 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. |
Single auditExperience 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. |
System and Organization Controls (SOC) auditWipfli 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. |
Employee benefit plan auditWipfli’s team brings experience in conducting over 700 employee benefits plan audits to help your organization better adhere to fiduciary responsibilities and maintain compliance. |
ESG servicesBuild a strong foundation for your ESG program with Wipfli. Our team can help you wherever you are in your ESG journey, from developing an effective ESG strategy to program design and implementation. Learn more. |
PCAOB auditWipfli 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. |
Other attestation servicesWipfli 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.
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Our team
Anna Kooi, CPA
Anna Kooi is a partner and leads Wipfli’s financial services practice. She has more than 20 years of experience in serving a variety of public and private clients in the financial services industry. Anna has advised clients ranging from startups to Fortune 50, bringing deep industry knowledge to the clients she services.
Ronald S. Niemaszyk
With over 25 years of experience, Ron Niemaszyk serves as an engagement principal to many of the firm’s flagship investment partnership and broker-dealer clients. In this role, he is responsible for supporting the delivery of audit and tax services as well as ensuring that clients’ goals and objectives are met.
Nick G. Ansley, CPA
Nick Ansley is a partner who brings more than 15 years of invaluable experience to financial institution clients. He has particular expertise with external audit and accounting and control issues that specifically impact financial institutions. Nick also has extensive commercial loan review experience. He has worked with large banks to develop internal control narratives and testing programs to assist them with FDICIA compliance requirements. Bringing additional value to his clients, Nick also assists with various agreed-upon procedure engagements and internal control reviews.
Alison J. Herrick, CPA
Alison Herrick is a partner who provides external and internal audit services to credit unions and banks, including evaluating lending programs, auditing compliance, conducting internal control studies and consulting on generally accepted accounting principles. She specializes in developing audit plans and providing credit unions with regulatory compliance audits and internal audit outsourcing and co-sourcing.
State of the banking industry report 2025
How do financial institution executives feel about the future? Our fourth annual “State of the banking industry” report uncovered confidence, despite rising threats and uncertainty.
