Company

Efficiency through automation: Changing how Broker-Dealers achieve compliance.

Collect, Analyze and Report Violations and Corrective Action Data Automatically

Stop manually locating data from various reports, entities and individuals. Capture Violations Data across all Audits performed by Internal, Independent and Regulatory auditors in one place, using our automated solution.

Save Time and Reduce Costs

Our software is a cloud-based Compliance Audit Management with Data Analytics platform (SaaS). The software addresses 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.

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.

Serving Compliance Departments, C-Suite, Board of Directors and Consultants:

The platform features include:

  • Manage Audits
  • Manage Compliance
  • Compliance Analytics Reports and Dashboards
  • Manage Companies/Clients
  • Manage Users
  • Personalize Platform with Company Name/Logo

Compliance Departments:

Chief Compliance Officer (CCO), Anti-Money Laundering Officer (AMLO), compliance management and staff can benefit from use of the following features:

Manage Audits

  • Optimize and Automate with Intuitive Audit Processes and Standardized Audit Content, saving time and reducing compliance costs.

 

Manage Compliance

  • Enter and Track Implementation of Corrective Action and Avoid Repeat Violations, Fines, Sanctions and Reputational Risk.

 

Compliance Analytics Reports and Dashboards

  • Analyze and Identify Violations patterns and trends to reduce the risk of Non-Compliance, and perform Audit Risk Assessments more efficiently. Transparency for Key Stakeholders with Executive Dashboards.

Corporate C-Suite:

Executive Management (CEO, CFO, COO, CCO, AML, etc.), Board of Directors and Audit Committee Members can benefit from use of the following features:

Manage Compliance

  • Transparency for Key Stakeholders, enhancing their ability to Track Implementation of Corrective Action and Avoid Repeat Violations, Fines, Sanctions and Reputational Risk.

 

Compliance Analytics Reports and Dashboards

  • Analyze and Identify Violations patterns and trends to reduce the risk of Non-Compliance, and perform Audit Risk Assessments more efficiently. Transparency for Key Stakeholders with Executive Dashboards.

Compliance Consulting:

Compliance Consulting Firms, and independent Compliance Consultants can benefit from use of the following features:

Manage Audits

  • Optimize and Automate with Intuitive Audit Processes and Standardized Audit Content, saving time and reducing compliance costs.

 

And, offer value-added Compliance Management Services to Clients, by helping them manage and/or providing access to the following features:

Manage Compliance

  • Client’s ability to Enter and Track Implementation of Corrective Action and Avoid Repeat Violations, Fines, Sanctions and Reputational Risk.
  • Transparency for a Client’s Key Stakeholders, enhancing their ability to Track Implementation of Corrective Action, Avoid Repeat Violations, Fines, Sanctions and Reputational Risk.

 

Compliance Analytics Reports and Dashboards

  • Analyze and Identify Violations patterns and trends to reduce the risk of Non-Compliance, and perform Audit Risk Assessments more efficiently. Transparency for a Client’s Key Stakeholders with Executive Dashboards.