Compliance Management

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Comply with Regulations without Sacrificing Efficiency or Profitability

Managing compliance efficiently and precisely sits atop the list of a financial organization’s priorities. At Albridge, we are uniquely positioned to leverage our core data management capabilities to offer turnkey, multi-custodial compliance management capabilities as an integral part of our service.

From automation of sales practices monitoring, responding to ad hoc compliance inquiries, to implementing standard and auditable business processes on a regulatory compliant platform, we put technology in your hands to improve the efficiency of your compliance staff.

You can realize tangible benefits, such as:

  • Reduce risk through better compliance
  • Achievement of scale such that growth is not dependent on increasing home office and compliance staff
  • Giving field supervisors more time to grow their business by reducing the amount of time they need to perform supervision activities

Solutions

Albridge Data Warehouse

Tap into rich data with hundreds of attributes across many dimensions and facts to create your own analysis and ad hoc reports for compliance, operations and more. Albridge maintained.

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Albridge Document Management

Support firm document retention guidelines or to meet investor requests in real-time, our document management solution can help back-office associates and investment professionals need access to documents-on-demand.

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Albridge Sales Practice Monitoring

Increase supervisory oversight while also promoting sound prospecting and selling practices that build trust and client relationships.

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Asset Management Solution

Certify, select and monitor your firm's subadvisory relationships through a secure, Web-based application and customizable interface.

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Intelligent Dashboard™

Monitor your firm's key performance indicators and make fact-based decisions on your tactical and strategic objectives.

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Industry Perspectives

  • Broker-Dealer Sales Practices Oversight 2012 Study Update

    By David McClellan, Director, Technology, Albridge, an affiliate of Pershing, a BNY Mellon company

    An update to the popular "Broker-Dealer Sales Practices Oversight: Secrets of Their Success" whitepaper, this study compares the findings of the original whitepaper with results of new interviews and surveys conducted in first quarter 2012.

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