Our Focus
MasterSupervision is an automated compliance management system that streamlines the process of compliance for broker-dealers and investment advisers. MasterSupervision is an all-in-one system that will empower your firm to define and implement an effective compliance program.
Our system allows you to build a compliance program, learn regulatory requirements, train employees, collaborate with colleagues, delegate responsibilities, document reviews, escalate red flags, draft custom procedures, define controls, and perform a wide range of other key compliance functions. Our mission is to provide each client with the technology to achieve optimum performance. Our extensive client base will attest that MasterSupervision is the most valuable tool in their compliance program.
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.
Accountability
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.
Automation
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.
Budgeting
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.
Collaboration
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.
Customization
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.
Delegation
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.
Leadership
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.
Performance Reporting
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.
Risk Management
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.
Scalability
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.
Training
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 Ultimate Interactive Tool in Compliance Management
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.
MasterSupervision 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.
Key Benefits
Improve Audit Results
Streamline Processes
Custom Controls
Proactive Not Reactive
Build a Culture of Compliance
Continuing Education
Gain the Required Knowledge
Identify and Mitigate Risk
Audit Readiness
Maximize Resource Allocation
Optimize Performance
Custom Procedures
Our Message to You
“The success of our clients’ compliance programs has been driven by the powerful features of MasterSupervison. For over a decade, we have remained at the forefront of innovation by continuously investing in the development of software and technologies designed to best serve the evolving needs of our clients. MasterSupervision has been used with great success not only by our clients, but also by our employees who utilize its features to learn compliance, accountability, leadership, and audit readiness. Without question, a firm with a disciplined process of selecting, performing, and overseeing the compliance tasks applicable to its business will be well-positioned to demonstrate compliance in audit situations. The risks of an inadequate compliance program are too great to ignore. Prevent and mitigate these risks by using MasterSupervision to create a comprehensive and robust compliance program that includes the necessary checks and balances.”
Kyle Weeks, CEO and President
MasterSupervision has proven to be a leader in the space of compliance management for over a decade.
Don’t take our word for it. Try our demo today and you’ll see why MasterSupervision is the leader in compliance automation.
We Would Like to Hear From You
If you have any questions or would like to schedule a demo, please contact us and we will get in touch with you shortly.