Albridge Sales Practice Monitoring
As regulators increase their focus on sales practices and suitability, financial organizations need more powerful tools for monitoring field activitiesfrom 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.
- 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