Compliance Software for Broker Dealers

MyComplianceOffice combines the power and flexibility of Personal Trading Monitoring, Task Management and Workflow, Document Management, and Case Management in one, "easy to use" solution.

Compliance Software Features

Our Compliance Software equips Chief Compliance Officers and other Registered Principals with the tools they need to meet today's regulatory challenges, including:

  • Streamline approval processes within the firm for outgoing correspondence, including advertising and sales literature requests.
  • Document the firm’s supervisory control procedures (FINRA 3012 and 3013) throughout the year, making it easier to complete annual reporting and certification requirements.
  • Track employee progress towards completion of their Continuing Education (CE) requirements.
  • Draft, distribute, and maintain version control over policies and procedures, e.g. Written Supervisory Procedures (WSPs) and other required manuals.
  • Circulate the firms Anti-Money Laundering policies, as well as facilitate the reporting of suspicious activity (SARs).
  • Collect employee acknowledgements and disclosures easily and record their attestations.
  • Monitor gifts, donations and outside interests of appropriate personnel.
  • Enable testing processes of the firm’s policies and procedures.
  • Set reminders for FOCUS reports filings and Fidelity Bond renewals.
  • Organize employee files with "new hire" and "termination" checklists.
  • Ensure FINRA registration renewals and other important activities are tracked though to completion.
  • Establish branch audit programs and record lists and oversee progress centrally.
  • Automate the review of employee personal trading accounts.
  • Track ongoing activities such as compliance reviews, attestations and contract renewals.
  • Provide offsite location for key disaster recovery documents such as Business Continuity Plan (BCP) and ready access to emergency contact lists.
  • Provide a single, comprehensive management tool to execute the firm’s compliance program.

Compliance Software Benefits

  • Reduce the cost of compliance by significantly reducing manual activities and increasing operational effectiveness.
  • Reduce compliance and reputational risks, particularly in ensuring a long term compliance program that is flexible to change as personnel and rules change.
  • Shift senior compliance management focus from routine tasks to core business functions.
  • Demonstrate a culture of compliance to regulators, employees, ownership and clients.
  • Ensure the firm is ready for SEC and FINRA examinations.
  • Ensure ease of communication with registered representatives throughout the branch office network.


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