SCORE for Compliance adds new platform capabilities, offering a comprehensive solution set of risk management tools to support active monitoring and mitigation of rep-related risk. This product provides the ability to aggregate compliance and business data from RegEd modules and internal and external systems, such as data related to sales production, product concentration and commissions data. SCORE for Compliance also indicates potential risk specific to the behavior and practices of the firm's supervised persons. SCORE for Compliance integrates these powerful capabilities:

  • RegEd's Risk Analytics Suite aggregates compliance and business data applies key metrics and creates a risk profile at a firm level or by region, branch or individual advisor.
  • RegEd's Compliance Data Warehouse assembles critical compliance and business data from internal and external systems and provides the ability to manage by exception, identify negative trends and monitor the status of filings and cases.
  • SCORE for Compliance's risk management capabilities enable identification of potential risk exposure presented by outliers and provide the ability to undertake mitigation tasks.

Risk Analytics Suite

RegEd's Risk Analytics Suite provides a dynamic compliance profile and calculates risk scores at every level of your organization's hierarchy including individual representative, branch, region and enterprise. Set the criteria for each compliance item you want to analyze, including scoring metrics and alert thresholds, and weight the items on a scale of your choice. Then easily draw comparisons among branches, regions or individuals. The Risk Analytics Suite provides powerful tools that allow you to actively measure and isolate risk exposure within your population.

Key FeaturesBenefits
  • Import critical business and compliance data from internal and external systems
  • Configure exception criteria, thresholds and alerts
  • Analyze and data mine representatives and business entities
  • Define exception criteria and thresholds
  • Configure compliance risk ratings
  • Personalize compliance dashboard settings
  • Print exception and compliance reports for board meetings
  • Lowers risk exposure through ability to identify and isolate potential warning signs
  • Easily identify "Compliance outlier" reps and populations that require heightened supervision
  • Enables discovery of Causal relationships that conceal hidden risks
  • Institutes firm-wide compliance benchmark metrics that support an organizational culture of compliance
  • Reduces manual processes and enables new levels of efficiency, lowering costs and increasing the effectiveness of the Compliance function

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