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Our solution and subject matter experts will provide an overview of how RegEd’s enterprise solutions enable our clients to improve efficiency, effectiveness and transparency across the enterprise.

Industry Challenge

FINRA continues to increase its focus on firm culture, including supervised persons’ conduct and sales practices, to ensure they comply with applicable regulations and protect investors. Because requirements often originate from multiple sources, both registered representatives and other firm employees struggle to gain a clear view of their unique compliance obligations and associated deadlines. To increase adherence to compliance requirements and ensure employee satisfaction, compliance teams must provide employees with a real-time view of specific compliance obligations and deadlines that is tailored to the responsibilities of each individual.

RegEd Solution

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.

Distinguishing Capabilities

  • Presents a single, consolidated view of critical compliance data specific to the requirements of an individual. Employees can easily customize their dashboard with widgets such as a customizable Representative Profile, External Requirements, Timeline, Licensing and Appointments, Continuing Education, FINRA Registration and Exam information, Advertisements and Notifications.
  • 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.
  • 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.
  • Configure new manager-centric widgets to assist in the oversight of both registered and non-registered populations.

Key Benefits

Streamlines Compliance for Employees

  • 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.
  • Delivers a clear, comprehensive view into the status of compliance requirements specific to the employee, facilitating a full understanding of pending and upcoming compliance obligations, and enabling employees to prioritize fulfillment in alignment with critical deadlines.

Reduces Non-Compliance Risk for the Organization

  • Automated alerts, task escalation, and timeline functions enable individuals to complete tasks within regulator- and firm-prescribed timeframes, increases compliance across the employee population.
  • Consolidated dashboard, clearly defined requirements and a simplified user experience reduce the likelihood that individuals will overlook or disregard compliance tasks.
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