One platform to build and maintain a culture of compliance
Be Prepared for FINRA Inspections.
Whether you’re a single-branch operation or a multinational firm, FINRA (Financial Industry Regulatory Authority) is committed to ensuring compliance with industry regulations. Expect a thorough review: every supervisory jurisdiction or branch under your management will be inspected annually, and your non-branch locations will be inspected at least once every three years.
Patrina’s platform helps you stay organized for these routine inspections and ensures you’re always ahead of the curve regarding regulatory requirements.
Our comprehensive solution allows you to centralize your compliance efforts, streamline documentation processes, and manage your audit trails effortlessly. With real-time alerts, document storage, and automated reporting, you can foster a culture of compliance that meets FINRA’s rigorous standards.
When your number comes up, will you be FINRA-ready?
When FINRA comes knocking, the last thing you want is to be caught unprepared. With Patrina’s Branch Audit Module, part of our comprehensive 8-module Compliance Suite, you’ll have everything you need to ensure your firm is audit-ready. This powerful tool offers a complete branch audit solution with user-friendly, step-by-step workflows that guide you seamlessly from pre-audit preparation to post-audit review.
Patrina’s Branch Audit Module is designed with the industry’s easiest-to-use interface, simplifying the audit process and making it more manageable and less stressful. Whether you’re dealing with a routine inspection or an unexpected visit, our module ensures you have all your compliance ducks in a row, helping you avoid costly fines and reputational damage.
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!
