Branch Audits


One platform to build and maintain a culture of compliance

FINRA will be visiting.

Whether you are a one-branch shop or a multinational, expect FINRA members to inspect every one of your supervisory jurisdictions or branches at least once a year, and your non-branch locations at least every three years.

When your number comes up, will you be FINRA-ready?

Patrina’s Branch Audit Module is one of 8 powerful modules in Patrina’s Compliance Suite. It’s a comprehensive branch audit solution that delivers step-by-step workflows to take you quickly from pre-audit prep to post-audit review through the industry’s easiest to use interface.

Reduce risk, prep and execute faster, meet all 17a-(4) recordkeeping requirements.

Patrina’s Branch Audit Module’s built-in workflows let you quickly:

  • Prep faster – online and offline;
  • Assess risk, schedule audits, track progress and follow-ups;
  • Create, Delete and Edit audit questions;
  • Collate and attach supporting documents to audit findings;
  • Track exam events, deficiencies, remediation;
  • Assign deficiencies for follow-up;
  • Easily create post-audit findings letter;
  • Compliance calendar to track upcoming or completed tasks and audits;
  • Archive in accordance with 17a-4 requirements; and
  • Allocate your compliance budget to what really matters.

Patrina’s that simple

Point. Click. Compliance..

So, when the regulators call, will you be ready?

Click here to schedule your Patrina demo or call +1.212.233.1155 today and we’ll help you do more, spend less, and reduce risk!


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