Compliance Tools for Oversight Teams
Advanced Monitoring and Risk Management for Rollover Analysis. Ensure regulatory compliance across your organization. Calendar-year firms owe the PTE 2020-02 written report and senior executive certification by June 30.
Designed for Compliance Oversight
The Compliance Challenge:
You need comprehensive oversight of rollover recommendations, but existing tools are either too expensive, too complex, or don't provide the monitoring capabilities you require for regulatory compliance.
Our Approach:
We provide compliance officers with:
- Real-time monitoring of advisor activity
- Automated compliance verification
- Complete audit trail management
- Annual retrospective review with a locked written report
- Risk assessment and alerting capabilities
Why Compliance Officers Choose Us
Compliance Monitoring
Real-time oversight of rollover recommendations with automated compliance verification and risk alerts.
Audit Trail Management
Complete electronic recordkeeping with timestamped documentation, user tracking, and regulatory compliance.
Team Oversight
Monitor advisor activity, review documentation quality, and ensure consistent compliance across your team.
Cost Effective
Professional compliance tools at institutional pricing. No expensive enterprise software required.
Streamlined Compliance Workflows
Pre-Trade Compliance
Review rollover recommendations before client presentations to ensure compliance and risk management.
Documentation Review
Conduct quality assurance reviews of rollover analysis documentation and client disclosures.
Build the PTE 2020-02 population, test a sample, log violations, and certify within six months of the period end.
Training & Oversight
Monitor advisor compliance training completion and provide ongoing oversight of best practices.
PTE 2020-02 Annual Retrospective Review for CCOs
Section II(d) requires a written report and a senior executive certification within six months of the period end. The workbook builds that file from completed rollovers.
Lock the population
Every completed rollover in the period is listed, then frozen so later edits do not change what you reviewed.
Test a sample
Draw a sample, record the method, and check each file against the Impartial Conduct Standards.
Certify and retain six years
A senior executive signs the written report. Signing locks it. Keep the report and the supporting data for six years.
Compliance Oversight Features
Compliance Dashboard
Real-time monitoring of advisor activity, documentation quality, and regulatory compliance status.
Risk Assessment
Automated risk scoring of rollover recommendations with alerts for high-risk situations.
Audit Preparation
Streamlined audit preparation with searchable archives and automated compliance reporting.
Annual Retrospective Review
Build the population from completed rollovers, test a sample, and lock the written report when a senior executive certifies it.
Quality Assurance
Automated checks for documentation completeness, regulatory requirements, and best practices.
Training Management
Track advisor compliance training, monitor certification status, and manage continuing education.
Proactive Risk Management
Identify and mitigate compliance risks before they become regulatory issues.
Pattern Detection
Automated analysis identifies unusual rollover patterns or high-frequency recommendations from specific advisors.
Documentation Gaps
System alerts when required documentation or client acknowledgments are missing from rollover files.
Fee Reasonableness
Benchmarking against industry averages ensures recommended IRA fees remain defensible.
Compliance Efficiency Gains
Time Savings:
- Automated compliance monitoring reduces review time by 70%
- Streamlined audit preparation and documentation retrieval
- Real-time alerts eliminate manual compliance checking
- Automated reporting for regulatory examinations
Risk Mitigation:
Proactive compliance monitoring reduces regulatory risk and enhances audit defense capabilities.
Value: Reduced regulatory risk and compliance costs
Compliance Tools Comparison
| Feature | Legacy Systems | Rollover Analysis Tool |
|---|---|---|
| Real-time Monitoring | Limited | ✓ Comprehensive |
| Annual Cost | $5,000-$15,000 | $1,200/yr flat (Firm) |
| Setup Time | 1-3 months | 5 minutes |
| Automated Alerts | Basic | ✓ Advanced |
| Audit Preparation | Manual | ✓ Automated |
| Risk Assessment | Limited | ✓ Comprehensive |
Retrospective review questions
When is the PTE 2020-02 retrospective review due?
The review, the written report, and the senior executive certification are due within six months after the period ends. A firm that uses the calendar year owes them by June 30.
Who certifies the written report?
A Senior Executive Officer. On a Firm plan the manager runs one review for the team and a senior executive signs it. A solo advisor is the firm and certifies their own review.
How long do we keep the retrospective review?
Keep the written report, the certification, and the data that supports them for six years. Be able to produce them within ten business days.
Join Compliance Teams Using Our Platform
Try the interactive demo and see the oversight workflow. No credit card required.
Try the interactive demo