Efficiency through Automation: Changing how Broker-Dealers Achieve Compliance

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.

Collect, Analyze and Report Data Efficiently - Save Time, Reduce Costs

BDSential has developed a cloud-based Compliance Audit Management with Data Analytics platform (SaaS), to address the Audit Management, Compliance Management and Compliance Data Analytics needs of Registered Broker-Dealers and other members of the Financial Industry including Investment Advisers, Hedge Funds and Private Equity Firms.
Our software reduces the time spent by staff and Senior Management in the collection, analysis and reporting of data. Allowing firms to meet compliance requirements more efficiently, saving time and reducing costs.

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.

Audit Management

Automates the entire lifespan of an audit, from planning and performance to a system generated report.

Compliance Management

Easily track corrective action progress and implementation, close the loop on repeat violations and avoid fines, sanctions and reputational risk. Transparency for Key Stakeholders with Executive Dashboards.

Compliance Data Analytics

Analyze and identify violations patterns and trends over time, reduce the risk of Non-Compliance, and perform Audit Risk Assessments more efficiently. Transparency for Key Stakeholders with Executive Dashboards.


Our Product could be integrated with the customers AML Risk Assessment Tool, or any other system which the customer is currently utilizing, since it is complimentary. While these types of products focus on the Risk Assessment itself, our product collects the Violations and Corrective Action Data needed in order to perform the Risk Assessment. Risk Assessments should include: Customers, Products and Services, Geographic Presence, Existing and Previous Audit Coverage and Violations (for example, AML Audit Violations).

Content Management

Manage and streamline content from various sources, whether it is licensed or provided by a customer. Use BDSential’s ready-made audit content, or provide your own in any format (Word, Excel, PDF, etc.) and we can customize, manage and version it for you.

  • Audit Question
  • Audit Procedures
  • Schedules and Exhibits
  • Rules Database
  • Versioning


  • Audit Status Alerts
  • Compliance Status Alerts

Manage Users

Assign and edit user roles with ease for more control and flexibility during personnel changes.

Manage Companies

Manage clients, internal departments, divisions, branches, addresses and contact information, making it easy for company administrators and self-auditing firms to schedule recurring audits.