Questions that fit your firm
Create, delete, and edit audit questions to reflect the branch's activities and your firm's requirements.
Branch Audit Compliance Software
Prepare the audit. Document the findings. Keep the follow-up moving.
Bring branch inspection work into one organized process, from questions and supporting documents to findings letters, corrective actions, and your compliance calendar.
- Preparation and supporting evidence
- Deficiency ownership and follow-up
- Calendar, findings letters, and records
Financial firms that trust Patrina
A clearer view of every branch review.
Whether your firm has one location or a larger branch network, audit preparation depends on knowing what must be reviewed, where the supporting evidence sits, and who owns the next action. Patrina's Branch Audit Management Module centralizes those activities within its Compliance Suite.
The module supports online and offline preparation, configurable audit questions, attached documentation, deficiency follow-up, post-audit findings letters, and a compliance calendar. Bring a representative branch review to a demonstration to see how those steps fit your firm's procedures.
From preparation to documented follow-through.
See how the work moves through the module, from the first record to the next action.
Set up the review around your branch.
Use your firm's inspection scope to prepare questions, gather documents, and coordinate the work ahead of the review.
- Create, edit, or remove audit questions
- Prepare online or offline
- Use the calendar to organize upcoming audits
Keep the findings with their evidence.
Bring audit questions, findings, and supporting documents into the same working process so the review can be understood after the inspection.
- Attach supporting documents to findings
- Track audit progress and exam timelines
- Document deficiencies for the relevant team
Give the next action a clear owner.
Move from the completed review to remediation, findings letters, and retained records, with visibility into work still outstanding.
- Assign deficiencies for follow-up
- Create post-audit findings letters
- Track completed tasks and preserve the record
Inside the modulePublished product views
Keep the essential work connected.
Give the team a consistent place for the information, decisions, and records behind each task.
Evidence alongside findings
Collate and attach supporting documents to the findings they help explain.
Corrective action tracking
Assign deficiencies for follow-up and keep remediation work visible after the inspection.
Post-audit findings letters
Create findings letters to communicate the results of the review and the work that follows.
A practical compliance calendar
Organize upcoming and completed tasks and audits in the context of your inspection program.
Recordkeeping in the workflow
Discuss archiving and retrieval requirements with Patrina as part of your firm's electronic recordkeeping process.
Build the inspection program around the location.
The inspection schedule is a firm responsibility. Use the location's supervisory role, activities, and risk to establish the review cycle; then use the module to organize the work and its evidence.
OSJs and supervisory branches
Rule 3110(c) calls for annual inspections of OSJs and branches that supervise one or more non-branch locations.
FINRA Rule 3110(c)Other locations have different cycles
Non-supervisory branches generally require inspection at least every three years, with risk factors potentially requiring more frequent reviews. Non-branch locations follow a regular periodic schedule.
Inspection schedulesKeep the written review record
Document the inspection and its findings. Apply the relevant retention requirements and your firm's procedures to the resulting records.
Inspection documentationBring one branch review to the demonstration.
Use a real inspection outline to evaluate the software's fit and focus your compliance budget on the work your team needs to improve.
Request a branch audit demoBring these to the conversation.
- Your inspection schedule and question set
- A sample finding with supporting documentation
- The team responsible for corrective actions
- A findings letter and the records you need to retrieve
What Patrina customers say.
Customer experiences with Patrina's service and compliance technology.
“We use Patrina primarily to help us monitor email communication between the advisor and the client. In addition, we find Patrina useful in helping us monitor external text messaging.”
“I moved to Patrina as my archiving vendor several years ago. By comparison, I find Patrina’s user interface substantially easier to navigate, and their prices are lower. I’ve been quite pleased with my decision.”
“I recommend Patrina to my state- and SEC-registered RIA clients because their email archiving system is equal to any in the market, and better yet, it’s less expensive than any of the others.”
“We chose Patrina because the solutions our previous archive partner provided did not meet our growing needs. Patrina’s service is impeccable.”
“After reviewing several competitors, Wingo Asset Management chose Patrina and couldn’t be happier. Patrina provides outstanding compliance record archiving services, exceptional customer service, and unbeatable pricing.”
“Patrina makes it convenient and efficient to retrieve emails and related information. Onboarding was simple and intuitive. Customer service has been consistently pleasant and helpful.”
“Patrina’s system works great, and their customer support is extremely efficient whenever we call. We’ve had a very positive experience with both their platform and their service.”
A clearer basis for your next step.
Bring your firm's process and questions to a focused product discussion.
Talk it through with PatrinaWhat does branch audit compliance software help manage?
Patrina's branch audit module supports audit preparation, configurable questions, supporting documents, deficiency follow-up, findings letters, a compliance calendar, and archiving. It helps organize the process; your firm defines the inspection scope and supervisory decisions.
Does every branch need an annual inspection?
The cycle depends on the location's classification and risk. See the Rule 3110 inspection distinctions above and establish the applicable schedule in your firm's procedures.
Can we use our own audit questions?
Yes. Patrina's module includes creating, deleting, and editing audit questions. Bring an existing question set to your demonstration to review how it would be configured.
Can the team track deficiencies after the audit?
The module supports assigning deficiencies for follow-up, tracking remediation work, and creating post-audit findings letters. Demonstrate a finding from identification through the next action.
What should we confirm about recordkeeping?
Discuss the records your firm creates, the applicable retention requirements, access responsibilities, and how records are retrieved. Confirm the relevant archiving configuration with Patrina rather than treating the software alone as a compliance determination.
Test the fit for your firm's workflow.
Bring a representative process. See the relevant product path, clarify configuration questions, and agree the next evaluation step with Patrina.
- A walkthrough focused on branch audit management
- Review roles, records, and reporting needs
- Questions answered in the context of your firm
Request a branch audit demo
Branch audit managementRequest a demo