BRANCH AUDIT MANAGEMENT: CAPABILITIES
Enterprise software solution to efficiently plan, schedule, conduct, resolve and report on branch inspections in accordance with FINRA Rule 3110 and other regulatory guidelines.
Audit Dashboards
Audit dashboards provide insight into individual audit status as well as the firm’s overall audit program to identify bottlenecks and reallocate audit schedules where required.
Customizable Audit Content
An extensive set of answer types, branching technology, question help, hyperlinking, definitions and formatting highlight critical information and guide users through the audit process.
Audit Data Pre-Population
Audit pre-population capabilities, including pre-audit questionnaires, reduce manual data entry and streamline the audit cycle.
Offline and Mobile Support
HTML5 offline applet delivers the flexibility to perform audits with or without an internet connection. Support for mobile devices enables auditors to conduct audits onsite via tablet or other mobile device.
Integrated Remediation
Integrated remediation and resolution capabilities enable auditors to efficiently follow-up and allow users to respond to identified deficiencies in a single, intuitive online interface.
Findings Letters
Auto-generated, firm-customized findings letters with live editing capabilities to reduce post-audit work, increase auditor efficiency and ensure consistency.
Repeat Deficiencies Identification
Real-time identification of repeat deficiencies while conducting an audit, enables the firm to isolate negative trends and quickly address issues at the time of finding.
Risk Scoring
Optional risk scoring and analysis capabilities across multiple business units and branch locations.
REGED BRANCH AUDIT MANAGEMENT: BY THE NUMBERS
2001
Solution first brought to market
60+
Leading Banks, Broker-dealers and Insurance companies
50,000+
Exams completed per year
1,600,000+
Exams completed since inception
BRANCH AUDIT MANAGEMENT: RELATED RESOURCES
Content covering the latest news and best practices for branch inspections, from industry and RegEd subject matter experts.
WEBINAR: Year-End Compliance Considerations for Broker-dealers and Investment Advisers
In this webinar RegEd product and subject matter experts, along with experts from Essential Edge Consulting, guide you through recommended compliance updates and best practices for the end of this year and beyond.
WHITE PAPER: Broker-Dealer and Bank Branch Audit Management: Ensuring Risk Mitigation
This white paper details why more firms are turning to specialized technology to efficiently plan, schedule, conduct, resolve and report on branch audits.
ARTICLE: SEC-Compliant Electronic Storage and Designated Third-Party Services
This article discusses how firms are required to maintain electronic records in a format that complies with SEC rules and how they can leverage RegEd’s electronic recordkeeping capabilities to comply with these requirements.
BLOG: Leverage Pre-Audit Questionnaires to Improve Efficiency and Reduce Risk
Pre-Audit Questionnaire (PAQ) functionality has enabled users to ensure that data collected via questionnaires is automatically populated, reducing the need for manual transfer and significantly improving audit cycle time.
“RegEd has enabled us to be more nimble in our branch exam program, so we can be proactive and hone in on the areas that we deem to be of greater risk, or are of a particular focus for regulators.”
Director of Supervision and Compliance | Tier 1 Broker-Dealer
BRANCH AUDIT MANAGEMENT: RELATED SOLUTIONS
Complementary solutions to power your compliance and credentialing program – all on a unified enterprise platform.
CONFLICTS OF INTEREST
A suite of fully integrated, fit-for-purpose modules to seamlessly monitor, identify and remedy conflicts of interest and code of conduct issues among the firm’s employee population and third parties.
ADVERTISING REVIEW
Robust enterprise software with advanced capabilities to automate and streamline advertising compliance review and speed time to market.
COMPLAINT MANAGEMENT
Complaint Management enables firms to systematically capture and track complaints that are reported directly to the firm or to regulators, streamlining the end-to-end process of complaint resolution throughout the organization.
COMPLIANCE QUESTIONNAIRES
RegEd’s Compliance Questionnaires provides a robust set of integrated, workflow-driven, enterprise tools that enables firms to initiate, distribute and track annual compliance questionnaires required by FINRA, and other critical questionnaires.
CONTACT US
Schedule a personalized consultation with our solution and subject matter experts. We’ll provide an overview of how RegEd’s enterprise platform enables our clients to improve efficiency, effectiveness and transparency across the enterprise.