Compliance and Risk Management

RegEd compliance management solutions provide firms with cost-efficient tools to automate and streamline the management of the firm's annual compliance program, rep data collection and attestations, advertising review compliance, branch audit management, personal securities accounts and more. RegEd's compliance management platform is built on deep regulatory analysis and rules. It provides workflow-driven capabilities and allows firms to meet the full life-cycle requirements for registered representative and insurance agent compliance.

SCORE for Compliance adds new platform capabilities, including the aggregation of critical compliance and business data from internal and external systems, data integration and analytics. SCORE for Compliance delivers a comprehensive suite of risk management tools to support the active monitoring and mitigation of rep-related risk, enabling firms to:

  • Identify outliers that may warrant heightened supervision
  • Spot negative trends before they impact business
  • Manage by exception and execute active mitigation
  • Actively monitor the status of filings and cases

SCORE for Operational Risk Management enables broker dealers and investment advisers to transform periodic, static, segregated risk management into an active, integrated, daily business process. SCORE for Operational Risk Management reduces risk exposure by enabling ongoing, seamless identification, management and mitigation of relevant risks and ensuring preparedness for board meetings and regulatory exams. Capabilities include:

  • Risk identification and analysis conducted at level(s) you specify
  • Risks cited directly to relevant authority
  • Integrated risk management capabilities including risk profiles linked to policies and procedures and full testing and case management
  • Regulatory updates and new risk identification relevant to the business
  • Ability to generate all appropriate reports and documentation to satisfy business, board and regulatory reporting demands.

RegEd solutions, which have been developed and enhanced through working in close collaboration with our clients, meet exacting regulatory standards while retaining high configurability to meet individual firm requirements.

Select a link above for more information, or click here to request that a RegEd Regional Vice President contact you.