RegEd Audit Management
byRegEd
RegEd's Branch Audit Management is an enterprise software solution designed to streamline the planning, scheduling, execution, resolution, and reporting of branch inspections in compliance with FINRA Rule 3110 and other regulatory guidelines. It supports both traditional onsite inspections and remote inspections under FINRA's Remote Inspections Pilot Program.
Features
- Audit Cycle Management and Status Dashboards: Auto-generates audit cycles and due dates based on firm policies and regulatory requirements, with dashboards providing oversight over individual audits and overall program status.
- Customizable Audit Content: Offers an extensive set of answer types, branching technology, question help, hyperlinking, definitions, and formatting to guide users through the audit process.
- Audit Data Pre-Population: Includes pre-audit questionnaires to reduce manual data entry and streamline the audit cycle.
- Integrated Remediation: Provides capabilities for integrated remediation and resolution, including identification of repeat deficiencies, enabling efficient follow-up and user responses within a single interface.
- Findings Letters: Auto-generates firm-customized findings letters with live editing capabilities to reduce post-audit work and ensure consistency.
- Offline and Mobile Support: Delivers flexibility to perform audits with or without an internet connection, supporting mobile devices for onsite audits via tablets or other mobile devices.
- Risk Scoring: Offers optional risk scoring and analysis capabilities across multiple business units and branch locations.
Product Details
- Pricing
- Custom
- Deployment
- Cloud
- Location
- 🇺🇸 Raleigh, United States
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