Overview
As part of Singular’s comprehensive compliance solutions, our OSJ and Branch Office audit tool is a comprehensive solution designed to streamline and enhance your internal auditing processes for FINRA compliance. With advanced workflows and online/offline capabilities, Singular’s OSJ and Branch audit solution will quickly take you from pre-audit prep to post-audit review. With Singular by Patrina you can ensure regulatory compliance, and identify areas for improvement.
Key Features
Comprehensive Audit Trail
Detailed Records: Capture every action taken within the system, including user activity, changes to records, and system configurations.
Data Repository: Collate and attach supporting documents to audit findings
Real-Time Tracking: Track exam events, deficiencies, and remediations.
Data Driven Insight
Customizable Database: Database of most common audit questions, with the ability to add, edit and group questions based on office type.
Risk Scoring: Assess risks associated with various processes or departments using our scoring system.
Mitigation Plans: Develop and track mitigation plans to address identified risks.
Customizable Findings Letter: Easily create post-audit findings letter
Compliance Management
Visibility: Compliance calendar to schedule and track upcoming or completed tasks and audits
Regulatory Compliance: Assess risk, schedule audits, track progress and follow-ups
Assign, Monitor, Identify and Remediate: Automated workflows to assign interview questions, monitor responses and identify deficiencies which are routed to CCO for review and remediation.
User-Friendly Interface
Intuitive Design: Navigate through your audit with ease thanks to a clean and user-friendly interface.
Online and Offline Capabilities: Spotty or no connection? Not an issue with Singular. Prep faster with offline capabilities and sync with Singular when a stable connection is available.
Training and Support: Access comprehensive training materials and receive ongoing support from our dedicated team.
Why Trust Patrina Compliance with your data? Just ask our clients.
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