Web-Based Audits

Online: increase oversight, reduce costs

Designed for specialized use in your remote branches or detached offices, our on-line audits allow your associated persons and branch managers to test and record self-administered internal inspections. These applications, in combination with the on-site audits, enable financial firms nationwide to broaden compliance reach, reduce costs, and shorten the audit cycle. Using these on-line audit technologies, your firm can push the audit function down to the branch level, yet retain control over the audit process by customizing audits and regulatory rules. Your home office and regional compliance staff can efficiently track all audit data, review audit results, status the review process and report results with the click of a mouse. The supervisory workflow and compliance review process ensures your managers will maintain control throughout the process. Your firm can utilize this powerful system to:

Increase your annual audit cycle
Reach more locations
Enforce heightened supervision
Augment your national audit program

Web-Browser Interface—reach unlimited locations.

Audits Reports

National Regulatory Services has developed a powerful web-based regulatory workstation for compliance professionals. Underpinning this system are robust data capture and reporting technologies with customized compliance rules designed to reveal exceptions at a glance.

Web-based access and reporting are standard features of the ComplianceMAX audit programs. Our powerful reporting system combines data collected by auditors with data supplied by your associated persons to provide a single, comprehensive overview of compliance status by registered representative, by office, or by region. We offer virtually unlimited views of your compliance data in real-time, as well as ongoing analyses of status, repeat violations, and trends. Audit report results are "rolled-up" to each OSJ, and each OSJ is in turn "rolled-up" to each region or to the corporate office of compliance. With the ComplianceMAX reporting, you can identify trends, interpret audit results, and recognize opportunities for training or other remedial actions with the click of a mouse.

Each component of this solution is designed to work together seamlessly. Although each component addresses a different regulatory element, the user interface provides a consistent look with easy navigation. National Regulatory Services provides powerful technology products and solutions. Our technologies are designed by compliance professionals and built on the most advanced technologies in the market today. We have designed these technologies in a modular fashion, so they can work independently or as part of a comprehensive compliance solution. By leveraging technology in your compliance programs, your firm will realize gains in operational efficiency, oversight and employee satisfaction. Our products are built with your firm in mind, and our goal is to ease your compliance burden while improving your supervisory oversight.