NRS ComplianceGuardianTM intoduces the newly enhanced 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.
ComplianceGuardian will help you take control of your compliance processes and begin building a culture of compliance in your firm so that the firm is ready for an exam. This technology delivers a wealth of tools and solutions for establishing and maintaining your firm’s compliance program. The user-friendly design, comprehensive collection of materials, powerful alerts and detailed reporting capabilities provides a customized and turnkey program for any or all of the following:
- Written Policy and Procedures Manuals
- Outside Business Activities
- Registration and Licensing
- U4 Management
- Form ADV filing
- Code of Ethics Attestations
- Regulatory News and Alerts
Schedule a demonstration to address your compliance challenges with an
NRS compliance expert today.
Click here to learn more about NRS ComplianceGuardian.