COMPLIANCE MANAGER 

Manage all data and interactions with your advisors and prospects on a secure platform built entirely on Salesforce.com.

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Business Review and Surveillance

  • Automated New Business Review / Processing
  • Automated Advisor submissions for approval
  • Compliance Questionnaires and Attestations
  • Advisor Gift and Entertainment Management
  • Manage & Report on Customer Complaints
  • Check & Certificate Blotters
  • Trade Blotter Monitoring
Tailored to You

  • Customized business rules and workflows tailored to your firm’s specific supervisory controls
  • Robust, customizable reporting to monitor, manage and measure compliance activities from initiation to completion
Consolidated and Organized

  • All activities are time and date stamped and recorded in the system
  • One consolidated platform for advisors to access compliance and administrative activities/requests
  • One consolidated firm-wide platform and database eliminating lost or disparate documents and e-mails, spreadsheets.
  • Consolidated data and processes within one platform
  • Secure and comprehensive books and records support including complete time/date stamps,
  • Identifying information and retention of all data, including related documents and materials
Quick and Efficient

  • Electronic submission for faster approval times for branch audits, business submission, tracking, approval and filing.
  • Automated compliance processes to reduce duplicate documents and task-intensive compliance efforts

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