Focus on Compliance

When talking about compliance, being ‘good’ isn’t enough at Windham.  Our compliance program, management system, and governing body differentiate our dedication and commitment.

Our compliance program

Windham has a comprehensive, formal, written compliance program designed to prevent or reduce regulatory violations, protect consumers from non-compliance and associated harms, and help align business strategies with these outcomes.  Windham’s Compliance Management System (“CMS”) provides the controls and people to promote a consistent philosophy of compliance and responsible interactions with consensus throughout the organization.  Our infrastructure supports compliance with applicable laws, regulations, client guidelines, and Company policy as we implement best practices for the business and continually adapt to the federal, state, and local regulations governing our industry.

The 4 elements of Windham’s successful CMS

  • Board and Management Oversight – Communicate clear expectations, adopt clear policies, and define an appropriately staffed compliance function
  • Compliance Program – A formal, written compliance program with policies/procedures, training, monitoring, and corrective action
  • Consumer Complaint Management Program – Responsive to complaints and inquiries (defines, tracks, monitors, and analyzes)
  • An Independent Compliance Audit – Review as to if policies and standards are being implemented

We believe our strong compliance program is designed to adapt support of all current regulatory and client processes, and to be proactive  in creating next generation practices while promoting transparency with our clients.  We have a world-class compliance culture with the attitude and approach of an industry leader in compliance through innovation leveraging both technology and analytics.