Compliance

Our Compliance Program

Windham has a world-class compliance culture with the attitude and approach of an industry leader. We believe our strong compliance program supports current regulatory and client processes, promotes transparency with our clients, and anticipates the next generation of best practices. 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.


The Four Elements of Windham’s Compliance Management System

Windham’s Compliance Management System provides the controls and people to promote a consistent philosophy of compliance 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.

  1. Board and Management Oversight

    Communicate clear expectations, adopt clear policies, and define an appropriately staffed compliance function.

  2. Compliance Program

    A formal, written compliance program with policies, procedures, training, monitoring, and corrective action.

  3. Consumer Complaint Management Program

    Windham responds to complaints and inquiries while defining, tracking, monitoring, and analyzing all consumer interactions.

  4. An Independent Compliance Audit

    Windham reviews, on an ongoing basis, whether our policies and standards are being implemented.