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..