Integrates data from RegEd’s comprehensive compliance offerings with client and third-party data to provide singular compliance views of employee conduct compliance across the enterprise
Employee Dashboard
Manage compliance requirements specific to employees.
Enterprise Dashboard
Identify trends and exceptions before the firm is exposed to potential risk.
Complex hierarchy management
Customizable
views
Create custom dashboards of key metrics and configure targeted views of specific compliance areas across your organization, branch or region.
Comprehensive reporting
Enterprise capabilities provide reporting, both on-demand and using pre-defined report formats. Readily produce documentation to satisfy requests from internal stakeholders and regulator examiners.
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.
Related Updates
RegEd to Showcase Enterprise Compliance Solutions at 2019 FSI OneVoice Conference
Attendees will have the opportunity to learn how RegEd enables clients to efficiently meet compliance and registration obligations while presenting a unified enterprise view of requirements.
RegEd to Showcase Enterprise Compliance Solutions at 2018 NSCP National Conference
Attendees will learn how RegEd enables hundreds of clients to efficiently meet compliance obligations associated with conflicts of interest, advertising review, branch audits, employee risk monitoring, onboarding and licensing and registration
Related Resources
eBook: Proactive Conduct Risk Management
eBook: 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.
Executive Brief: Leveraging RegTech to Create Compliance and Competitive Advantage
Executive Brief: Leveraging RegTech to Create Compliance and Competitive Advantage
Leveraging RegTech, the compliance function can evolve from a reactive cost center to a proactive value creator – one that has a positive impact on business performances.
Video: Proactive Conduct Risk Management
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.