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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.
- 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.
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.