Branch Audits


One platform to build and maintain a culture of compliance

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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?

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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.

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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?

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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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