One Platform for Branch Audit Management and Building 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 branch audit software helps you stay organized for these routine inspections and ensures you’re always ahead of the curve regarding regulatory requirements.
Our comprehensive audit management 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, our branch audit management tools foster a culture of compliance that meets FINRA’s rigorous standards. Whether you need a robust branch audit solution for a single location or scalable tools for multiple branches, Patrina provides the software to maintain consistent and efficient compliance across all your operations.
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 Management Module, part of our comprehensive 8-module Compliance Suite, you’ll have everything you need to ensure your firm is audit-ready.
Patrina’s Branch Audit Software simplifies compliance by centralizing all audit-related documentation in one secure platform for single-branch offices and multi-location enterprises. This feature allows you to streamline audit preparation and manage each branch’s compliance status in real-time, helping you stay proactive instead of reactive when meeting FINRA standards. With automated reminders, document storage, and clear workflows, the software reduces the chance of oversights or missed deadlines, giving you peace of mind ahead of any inspection.
Patrina’s audit management solution offers more than just compliance. Whether dealing with a routine inspection or an unexpected audit, the Branch Audit Module equips you with robust tracking and reporting capabilities that streamline the process for all involved. You can effortlessly track corrective actions, maintain a detailed audit trail, and easily access historical records, essential for satisfying FINRA’s rigorous standards and expectations.
Reduce Risk, Streamline Branch Audit Management, and Meet All 17a-4 Recordkeeping Requirements Quickly and Efficiently.
Patrina’s Branch Audit Management Module’s built-in workflows make every stage of the audit process smoother and faster, allowing you to:
- Prep Faster – Online and Offline. Get ready for audits with tools designed for efficiency and flexibility.
- Our comprehensive branch audit software allows you to manage risk assessments, schedule audits, track ongoing progress, and monitor follow-ups.
- Create, Delete, and Edit Audit Questions: Easily customize audit questions to reflect your firm’s requirements and meet branch audit solution needs.
- Collate and Attach Supporting Documents to Audit Findings.
- Our audit management solution enables you to monitor exam timelines, identify deficiencies, and monitor remediation efforts.
- Assign Deficiencies for Follow-up
- Easily Create Post-Audit Findings Letters: Automatically generate clear, professional findings letters after each audit, helping you communicate results effectively and stay compliant.
- Use a Compliance Calendar to Track Upcoming or Completed Tasks and Audits.
- Archive by 17a-4 Requirements.
- Allocate Your Compliance Budget to What Matters
Patrina’s that simple
Point. Click. Compliance..
