NRS ComplianceGuardian, used by thousands of investment advisers and broker-dealers is an essential component of your compliance program. Put the industry standard to the test and register now for your 15 day trial.
So what is ComplianceGuardian?
It’s a complete on-line and interactive solution for managing your compliance program whether you’re an Investment Adviser, Broker-Dealer or Private Fund Firm. This easy-to-use online system is filled with information from NRS’s expert compliance consultants, it will help you make compliance a part of your day-to-day business.
Right from Guardian’s home page, a dashboard of useful compliance tools are available
Everything from email alerts on timely compliance issues to guides on important compliance topics like surviving an SEC audit and anti-corruption practices. ComplianceGuardian’s content is updated on a quarterly basis to ensure that you can keep your compliance processes current.
Policies and Procedures and Code of Ethics
Guardian’s Policies and Procedures tool lets you customize content to fit your requirements. NRS’s Smart Update technology protects your custom content by not allowing it to be overwritten unless you make that decision. It even manages the submission and archiving of attestations. With Guardian, you can easily create and maintain the required Policies and Procedures and Code of Ethics for your firm.
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. The automated tasks close 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.
Annual Review Tool
ComplianceGuardian provides a host of useful tools to guide and streamline your compliance processes including the Annual Review Tool which provides a systematic method to approach the required annual review. Integrating your firm’s policies and procedures, the tool enables you to push reviews to the appropriate person and track findings as well as their resolutions on a topic by topic basis. It will even create and archive the Annual Review report.
Model Documents Library
Another great feature of ComplianceGuardian is the Model Documents Library. This offers a comprehensive repository of documents used by firms. This firm-wide document management system includes:
- client forms
- employee forms
- trading forms
- disaster recovery templates
- and much more
The model documents can be easily customized using Guardian’s editor to meet the specific requirements of your firm. With its ability to publish documents to users based on firm-specified permission, the Model Documents Library will help you get your documentation in shape quickly and efficiently.
Guardian Add-On Modules:
- Monthly Compliance Program provides a Q&A format, prompting you to review and assess your policies and procedures in a timely, organized manner. Each monthly module provides you with a list of compliance tasks that need to be completed.
- NRS Consulting Services can be added to your Guardian Subscription providing access to our compliance experts.
- Form ADV Architect module can assist with the creation and maintenance of your Form ADV Part 2A and 2B.
- Desktop Seminars are two hour webinars on the latest compliance challenges.
- RepTracker along with the Outside Business Activities Module will help you collect and maintain data around your registered reps.
- Policy Architect Module is for those with an existing or previously drafted policies and procedures manual that needs to be updated to reflect the most current regulations.
NRS ComplianceGuardian: offering the ideal tools to help you smoothly navigate changing compliance rules and improve your compliance agility. Register today for your free 15 day trial.