Overview
As regulatory scrutiny continues to increase, firms are under growing pressure to execute branch audits more efficiently while ensuring thorough oversight and compliance. The difficulty is that compliance teams must meet these demands with limited and already strained resources. Join RegEd and Essential Edge Consulting for an in-depth discussion on how combining expert consulting with advanced technology can transform the way firms approach their branch audit programs.
This session covers:
- Best practices for branch audits: Insights from compliance and consulting experts on how to strengthen your program and mitigate risk by leveraging outside resources.
- Technology’s role in efficiency: How automation, workflows, and reporting tools streamline audit processes strengthen oversight and enable firms to effectively partner in conducting branch examinations.
- Real-world client perspective: Hear directly from a firm that leverages both consultants and technology, sharing firsthand how this dual approach has delivered measurable value.
Whether you are seeking to modernize your audit program, reduce the pressure on your internal resources, or enhance your compliance posture, this webinar provides best practices, practical strategies and actionable takeaways to maximize efficiency and effectiveness.
Jamie Schlag
Senior Vice President and Head of Client Engagements
Essential Edge
Compliance Outsourcing
Services, LLC
Tammy McCadden
Vice President
Compliance Manager
Atria Wealth Solutions
Adam Schaub
VP, Platform
Product Management
RegEd
About RegEd
RegEd is the market-leading provider of RegTech enterprise solutions with relationships with more than 200 enterprise clients, including 80% of the top 25 financial services firms.
Established in 2000 by former regulators, the company is recognized for continuous regulatory technology innovation with solutions hallmarked by workflow-directed processes, data integration, regulatory intelligence, automated validations, business process automation and compliance dashboards. The aggregate drives the highest levels of operational efficiency and enables our clients to cost-effectively comply with regulations and continuously mitigate risk.
Trusted by the nation’s top financial services firms, RegEd’s proven, holistic approach to RegTech meets firms where they are on the compliance and risk management continuum, scaling as their needs evolve and amplifying the value proposition delivered to clients.