EMPLOYEE COMPLIANCE DASHBOARD: CAPABILITIES

RegEd SCORE® Risk Control Center delivers a clear, comprehensive view into the status of compliance requirements at the company level or specific to the employee. This facilitates a full understanding of pending and upcoming compliance and licensing and registration obligations, enabling users to prioritize fulfillment in alignment with critical deadlines.

Consolidated View of Compliance Data

A single view specific to an individual, including Representative Profile, External Requirements, Timeline, Licensing and Appointments, Continuing Education, FINRA Registration and Exam information, Advertisements and Notifications.

Required Tasks and Deadlines

View data at the representative level to display comprehensive compliance tasks and deadlines. Prioritize compliance needs with the aid of alert icons, notifications and email reminders.

Advanced Employee Lookup

New employee lookup feature enables managers to quickly search and view the dashboards of employees within your span of control to evaluate compliance and perform maintenance.

Manager Oversight

Configure new manager-centric widgets to assist in the oversight of both registered and non-registered populations.

Compliance obligations are aggregated from multiple sources and presented in a single dashboard that provides a clear view of outstanding tasks, simplifying the process for fulfilling compliance requirements.

EMPLOYEE COMPLIANCE DASHBOARD:
RELATED RESOURCES

Content covering the latest news and best practices for risk monitoring, from industry and RegEd subject matter experts.

VIDEO: RegEd SCORE Risk Control Center

Learn how SCORE delivers a clear view of compliance requirements and risks, at the enterprise level or specific to the employee.

EXECUTIVE BRIEF: Proactive Conduct Risk Management

SCORE installs a powerful compliance control center that enables firms to proactively identify and calculate non-compliance and sales practice risk across their employee population.

WEBINAR: FINRA’s 2022 Examination and Risk Monitoring Program Report

The webinar features an expert panel from RegEd and Eversheds Sutherland (US), who will provide analysis of FINRA’s report, as well as practical insight to help firms shape their compliance and business operations. The session also discusses the implications of the report for enforcement and examination activities.

CELENT REPORT: Marketing Compliance in the Financial Services Industry

This report, authored by Neil Katkov, PhD, Head of Risk & Compliance at Celent, provides an overview of the different challenges faced by the financial services industry in regards to marketing and advertising compliance.

EMPLOYEE COMPLIANCE DASHBOARD:
RELATED SOLUTIONS

Complementary solutions to power your compliance and credentialing program - all on a unified enterprise platform.

SCORE ENTERPRISE COMPLIANCE DASHBOARD

SCORE Enterprise Compliance Dashboard enables stakeholders to identify trends and exceptions before the firm is exposed to potential risk.

OUTSIDE BUSINESS ACTIVITIES

Outside Business Activities enables centralized, systematized management of OBA disclosures, attestations and amendments, reducing review time and facilitating communication on specific requests to speed the decision process.

GIFTS, GRATUITIES & CONTRIBUTIONS

RegEd’s Enterprise Gifts, Gratuities and Contributions Management is the industry’s most advanced software solution for managing the submissions, approvals and tracking of gifts, business entertainment, non-cash compensation and political contributions to readily identify conflicts of interest.

ADVERTISING REVIEW

Robust enterprise software with advanced capabilities to automate and streamline advertising compliance review and speed time to market.

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.

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