Combine the best of NRS technology, education and consulting into a one-stop compliance solution.
NRS ComplianceGuardianTM helps you take control of your compliance processes and begin building a culture of compliance in your firm. Developed on the knowledge NRS has acquired in its 25 years as an authority on compliance, the Technology delivers a wealth of tools for establishing and maintaining your firm’s compliance program. The user-friendly design, comprehensive collection of materials, powerful alerts and detailed reporting capabilities provides you with the tools you need to keep your firm compliant. See what ComplianceGuardian has to offer your compliance program.
ComplianceGuardian Technology includes:
- Written Policies and Procedures Manuals
Create a required Written Supervisory Policies and Procedures or a Code of Ethics including attestations for your firm with ComplianceGuardian’s online manuals. The manual content is written and updated at least quarterly by NRS consultants to ensure that your firm meets current regulatory requirements. NRS’s Smart Update technology protects your custom content by not allowing it to be overwritten unless you make that decision.
- Compliance Calendar and Task List
By completing a simple questionnaire, not only do the policies and procedures begin to be tailored for the firm, but the tool creates a customized compliance calendar and compliance task list that is synchronized with the firm’s policies and procedures.
ComplianceGuardian includes compliance tasks automatically created from your policies and procedures closing the gap between what the firm policies are and what the firm does. NRS Consultants have provided guidance on what each task should entail for review purposes and the firm has the ability to add their own specific tasks. Assign the tasks to other ComplianceGuardian users and have the system send automatic emails and reminder emails.
Regulators use a firm’s policies and procedures to learn about the processes within a firm. This function will pull out the procedures so firm’s are aware of their responsibilities ensuring a smoother regulatory exam.
- Model Documents
Use this library of customizable forms and documents including personal securities trading forms, privacy statements, a business continuity plan, employee forms, model client agreements and communication templates. Also included is a state-by-state solicitor guide.
- Compliance News and Research Center
Stay up to date and informed regarding regulatory changes, new requirements and more by easily accessing regulatory news, alerts, compliance calendars, guides, checklists and other information right from within ComplianceGuardian.
Enhance and expand your compliance program’s capabilities by selecting from these ComplianceGuardian modules to create a custom solution for your firm.
- Form ADV Architect
- Monthly Compliance Program
- Desktop Seminars
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For more information on ComplianceGuardian or any of our solutions to help you meet your compliance needs, contact us today.