MasterSupervision helps you evaluate your current compliance program and also helps you to consider controls to ensure future compliance. Our consultants will advise you on the development of an effective supervisory system, including the selection and delegation of the required reviews and tasks, enabling your firm to understand the regulatory mandates governing your business. Your customized program creates an automated assignment of compliance tasks and appropriate reviews for your firm’s personnel. MasterSupervision’s dashboard allows you to monitor your firm’s performance to make sure that your personnel are completing their assigned tasks, reviews, and responsibilities. The system allows you to view and measure your firm’s performance with our multiple reporting functions.
Promote accountability among employees and empower your managers to oversee all aspects of your firm’s compliance program. MasterSupervision offers calendar functionality, real-time auditing and performance reporting.
Simplify compliance and reduce costs by automating the assignment, delegation, and monitoring of a wide range of compliance tasks. MasterSupervision reduces the burden of managing a compliance program by automating recurring compliance functions. MasterSupervision offers the most comprehensive platform built with a modular architecture to simply complex workflows through automation.
Increase the profitability of your firm through effective budgeting decisions and enhance the effectiveness of your firm’s compliance program by efficiently allocating valuable compliance resources. MasterSupervision allows your firm to track the time it takes for employees to complete compliance tasks, thereby enabling your firm to more accurately project expenses and anticipate compliance costs.
Work in a team environment to leverage the diverse talents and skills of colleagues. MasterSupervision allows your firm to assign compliance functions to the right person, and to promptly re-assign functions based on changes in staffing, a significant business disruption, or any other event triggering a need for work to be reassigned.
Design a compliance program tailored to your firm’s distinct needs, identity, and culture. MasterSupervision allows your firm to customize the key components of its compliance program, such as task assignments, supervisory designations, delegated responsibilities, procedures, and review mechanisms.
Strengthen your firm’s compliance program through effective delegation of responsibilities. MasterSupervision makes it easy for your firm to assign compliance tasks to the appropriate persons.
Enhance the leadership skills of your firm’s managers. MasterSupervision provides the knowledge and tools to empower your managers to lead others and create a culture of compliance at your firm.
Track the performance of your firm’s compliance and supervisory tasks. The performance reporting allows your firm to quickly identify and proactively address late or outstanding tasks.
Assess risk and take measures to prevent or mitigate risks. MasterSupervision gives your firm a high level of transparency, helping you to detect gaps in your compliance program that expose your firm to risk.
Adjust the size and scope of your firm’s compliance program to reflect changes in your firm’s size or operations. The scalability will optimize the performance of your firm’s compliance program whether you have a one-man shop or a global organization.
Deliver effective training to the individuals who perform compliance functions at your firm. MasterSupervision serves as a training resource that provides the applicable individual(s) with the requisite knowledge to perform the tasks assigned to them.
Why choose MasterSupervision?
It's the One Platform Solution for Broker-dealers and Registered Investment Advisors.
The complex and ever-growing set of regulations and laws governing the securities industry creates many challenges for the financial institutions that must comply with them. Compliance is not just what you know, but more importantly, what you don't know. The enforcement stakes are high and an audit score of 99% could result in a failure.
For those of you who are experts, compliance is something that you have to teach and delegate to others. Compliance takes a great deal of organization and discipline. Compliance doesn't just happen in a day; rather, it is ongoing process that must occur throughout the year.
Too often, we come across prospects that desperately need to fix a failing compliance program. In many cases, the gaps in these compliance programs are not detected until it is too late. Perhaps, the firm put too much trust in one employee. Consider the consequences of losing a key person, such as your firm’s Chief Compliance Officer. How would your firm replace this position with only two weeks’ notice? There is just too much ground to cover.
MasterSupervsion is your firm’s solution and the all-in-one compliance management software.
We pride ourselves not only on our innovative software, but also on our people. Our clients remind us daily of how much they value our team and services. Our people have skills and experience in a broad range of fields, including legal, regulatory, operations, accounting, supervisory, trading, data analysis and technology.
BUILD A CULTURE OF COMPLIANCE
Identify and Manage Risk