Compliance


Automate Surveillance and Compliance Tasks

A typical branch or Office of Supervisory Jurisdiction (OSJ) generates hundreds of pages of orders, confirms, blotters, reports, client requests and memos per day. Yet, at the end of the day, it does not always add up to a clear, actionable analysis for compliance—whether it is preparing for an audit, keeping up with regulatory requirements or conducting advisor surveillance.

Over the years, Albridge has listened to its clients and studied their dilemma of increasing compliance requirements and risk management concerns. As a result, we have enhanced our offering to provide a suite of compliance management solutions that leverage our enterprise data management process. Albridge Compliance Management can help compliance departments plan and work proactively, rather than responding to each day's events reactively. Our offering includes:

  • Detailed compliance reports to monitor issues ranging from suitability to replacement sales
  • Reporting to evaluate sales practice patterns, for purposes of identifying regulatory hotspots and red flags
  • Tools to automate administrative compliance tasks such as preparing for an audit, gift tracking, license and registration tracking, and maintenance of written supervisory procedures
  • Data warehousing capabilities to meet data storage requirements