ENTERPRISE COMPLIANCE DASHBOARD: CAPABILITIES
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.
Customizable Dashboards
Create custom dashboards of key metrics and configure targeted views of specific compliance areas across your organization, branch or region.
Aggregate Compliance Program Data
Driven by FINRA Web EFT™ and RegEd solutions, including: Disclosures, Customer Concerns/Complaints, Advertising Review, Compliance Questionnaire deficiencies, Outside Business Activities trends and Branch Office Exam deficiencies.
Trending and Analysis
Analyze employee behavior and sales practice trends over time, by individual, branch or region, to isolate negative trends that warrant attention and to identify best practices related to hiring and supervision.
Complex Hierarchy Management
Employ RegEd’s embedded hierarchy to create detailed views at the firm, branch or individual level, which can be saved in the RegEd SCORE Widget Library for later re-use.
SCORE Enterprise Compliance Dashboard enables stakeholders to identify trends and exceptions before the firm is exposed to potential risk.
ENTERPRISE COMPLIANCE DASHBOARD:
RELATED RESOURCES
Content covering the latest news and best practices for risk monitoring, from industry and RegEd subject matter experts.
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.
EXECUTIVE BRIEF: 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.
WEBINAR: FINRA’s 2022 Examination and Risk Monitoring Program Report
The webinar features an expert panel from RegEd and Eversheds Sutherland (US), who will provide analysis of FINRA’s report, as well as practical insight to help firms shape their compliance and business operations. The session also discusses the implications of the report for enforcement and examination activities.
CELENT REPORT: Marketing Compliance in the Financial Services Industry
This report, authored by Neil Katkov, PhD, Head of Risk & Compliance at Celent, provides an overview of the different challenges faced by the financial services industry in regards to marketing and advertising compliance.
ENTERPRISE COMPLIANCE DASHBOARD:
RELATED SOLUTIONS
Complementary solutions to power your compliance and credentialing program – all on a unified enterprise platform.
SCORE EMPLOYEE COMPLIANCE DASHBOARD
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.
OUTSIDE BUSINESS ACTIVITIES
Outside Business Activities enables centralized, systematized management of OBA disclosures, attestations and amendments, reducing review time and facilitating communication on specific requests to speed the decision process.
GIFTS, GRATUITIES & CONTRIBUTIONS
RegEd’s Enterprise Gifts, Gratuities and Contributions Management is the industry’s most advanced software solution for managing the submissions, approvals and tracking of gifts, business entertainment, non-cash compensation and political contributions to readily identify conflicts of interest.
ADVERTISING REVIEW
Robust enterprise software with advanced capabilities to automate and streamline advertising compliance review and speed time to market.
CONTACT US
Schedule a personalized consultation with our solution and subject matter experts. We’ll provide an overview of how RegEd’s enterprise platform enables our clients to improve efficiency, effectiveness and transparency across the enterprise.