Compliance and Operations

Document Management and Workflows

Our fully integrated Document Management and Workflows system helps you be more operationally efficient and is a scalable solution for any size office.

Be More Efficient

Leverage our customizable, SEC 17a-4-storage compliant Document Management and Workflows tool to allow home office staff and advisors to store documents electronically. The tool also allows users to view, scan, retrieve and approve documents. This functionality combined with our workflows will save your firm days in processing time and help to reduce Not in Good Order (NIGO) business. Documents sent into the platform by the field can automatically initiate appropriate workflows and eliminate the flow of paper through your firm to enable paperless processing. Storage and filing costs will be reduced while ensuring document storage and audit compliance. Your entire document management process will be streamlined and the experience elevated with e-signature integration.

Learn how one firm leveraged our solutions to fix a long-running pain point in Less Paper. Fewer Problems. Happier Advisors.

Sales Practice Monitoring

Our solution draws from multi-custodial data across diverse systems for easier exception recognition, follow up, resolution, documentation and reporting.

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Albridge's Sales Practice Monitoring allows your firm to monitor transactions and accounts—at either the branch or advisor level—and document compliance comments or actions. Your firm can support increased sales activity levels without increasing compliance staff. This is through automated identification of regulatory hot spots and red flag sales practice patterns and the ability to flag transactions that pose suitability problems or require attention. Finally, you can guide compliance supervisors and staff in implementing consistent surveillance methods.

Learn how we can enable the tools and resources you count on to work more efficiently and effectively.