Albridge Sales Practice Monitoring

As regulators increase their focus on sales practices and suitability, financial organizations need more powerful tools for monitoring field activities—from fee-based planning to client suitability.

Albridge Sales Practice Monitoring, powered by Actimize, draws from multi-custodial data across diverse systems for easier exception recognition, follow up, resolution, documentation and, ultimately, reporting.

Find out if Albridge Sales Practice Monitoring is the right solution for your firm.

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• Can you monitor multi-custodial transactions?
• Do you have an automated process for sales practice monitoring?
• Can you document compliance comments and actions to ensure compliance throughout your firm?
• Do you have a system to “red flag” sales practice patterns?

Albridge Sales Practice Monitoring addresses these needs. Our solution enables firms to:

• Monitor transactions and accounts, at either the branch or advisor level
• Document compliance comments or actions
• Automate identification of regulatory hot spots and “red flag” sales practice patterns
• Flag transactions that pose suitability problems or require attention
• Support increased sales activity levels without increasing compliance staff headcount
• Provide expert advice on monitoring common sales practice issue
• Guide compliance supervisors and staff in implementing consistent surveillance methods