Reducing Compliance Audit Risk

An Agile, Low-cost Way to Reduce Compliance Audit Risk

As FINRA and the SEC become more aggressive in the enforcement of both AML and Supervisory Control Systems regulations, which require ‘Annual’ Testing, Audit Risk Assessments, and Management Reporting, firms are in need of more sophisticated and efficient methods to achieve compliance. Compliance systems that require manual collection of data and reports from various individuals, entities, and regulatory agencies, and conducting line-by-line reviews and analysis are no longer feasible, and create enormous demands on time and limited resources.

An innovative technology solution that enables firms to collect, analyze and report data more efficiently is needed.

The market has not provided an agile, low-cost solution to meet this burden. Until now.

Comprehensive & Intuitive

Comprehensive and intuitive, our cloud-based Compliance Audit Management with Data Analytics platform (SaaS) addresses all the Audit Management, Compliance Management and Compliance Data Analytics needs of Registered Broker-Dealers and other members of the Financial Industry, including:

Collect, Analyze and Report Compliance Data Efficiently:

  • Intuitive Audit Processes to streamline workflow
  • Standardized Audit Content to create consistent work product
  • Corrective Action Tracking to avoid repeat violations
  • Compliance Analytics to identify violations patterns and trends and assess audit risk
  • Compliance Dashboards and Reporting to provide transparency to Key Stakeholders
  • Archive and Retrieve Compliance Data Easily

It’s intuitive, comprehensive, and easy to scale across multiple companies, departments and branches.

See how it works on our Solutions page.