COMPLIANCE ONLINE SYSTEMS

Staying compliant doesn’t have to be complicated

Satisfy the most common FINRA regulations completely online with over 16 SEC 17a-4 compliant modules including Outside Business Activities, Annual Compliance Meeting, Firm Element and more.

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Is your firm prepared for an audit?

Regulations can change frequently and with little warning — causing you and your firm to have to make sweeping changes to your training, forms and sales practices to avoid fines and penalties.

Classroom training and paper forms used to be an acceptable way of fulfilling these compliance requirements. However, their inefficient nature coupled with the rise in working remotely has made traditional solutions like this unacceptably complicated and sometimes impossible.

Deliver training, monitor workflow and track compliance status from anywhere

Pinpoint’s Compliance System is an online hub that hosts all of your compliance requirements while giving you real-time reporting and detailed auditing tools. Seamlessly integrating into your firm’s infrastructure, the system adapts to your specific needs and requirements, while mirroring your hierarchy and workflow, no matter the size of your organization.

Trusted by top companies

“The automation and tracking provided by the platform has been extremely well-received by RJL’s registrants. Now, it’s as simple as one mouse click for advisors and RJL compliance personnel to review registration status and take action on CE and IIROC requirements.”
Jeevan Dhamrait
Vice President, Operations
Raymond James

Be prepared for anything

The Compliance Online System has the tools you need to stay compliant no matter the regulatory landscape

Integrated FINRA Modules

Configurable solutions get you up-and-running fast

Pinpoint’s Online Compliance System has standard solutions for over 16 FINRA compliance requirements, including:

government regulatory alerts
advisor account review
reg 187
MODEL REGULATION #275
firm element
disciplinary tracking
social media tracking
adv part 2b brochure
comprehensive risk profiles
cash/non-cash tracking
sales material submission and review
outside business activity
naic training
annual compliance meeting
written supervisory procedures
annual individual review / annual compliance questionaire
...and more

Automated Workflow

Provide oversight that matches your organization

Pinpoint’s compliance modules are configurable to account for how your firm conducts business, and will automatically route completed modules and forms to the proper gatekeepers for oversight. This allows for tracking the remarks made and the actions taken every step of the way — providing you with a snapshot of the entire process.

Custom Smart Forms

Simplify working-from-home by moving paperwork online

Digitize your paper forms and increase efficiency with Pinpoint’s Smart Forms. Employ digital form features like branching and logic to simplify complicated forms and automatically detect errors — allowing your agents to fulfill requirements sooner and get back to selling.

Online Reporting Console

The tools you need to survive a regulatory audit

Each compliance module comes with its own detailed report that is accessible online, anytime. Run reports on demand, or set preferences and delivery frequency to have reports automatically delivered to your inbox for periodic checkups — so you always know where your team stands.

Need something specific? Pinpoint can easily create additional reports to track custom metrics for unique company data.

Comprehensive Risk Profile

Spot and resolve red flags before they cost you

Staying in compliance requires you to be proactive. Pinpoint’s Risk Profile scans a myriad of agent data points like outside business activities, conflicts of interest, and many others to assign a unique risk assessment to everyone in your organization — automatically notifying you when action needs to be taken so you can stay ahead of potential problems.

Gold-Record Data Security

Enjoy peace of mind with encrypted data storage

All of your data within Pinpoint’s Compliance Solutions is encrypted and fully redundant to protect your information from being lost or compromised — making sure that your data will always be there to tell the whole story, should your firm be audited.

Unrivaled Customer Support

Unlike other LMS providers, Pinpoint provides clients with dedicated customer support professionals. No call centers or waiting days for an email response — just friendly, knowledgeable people committed to your success.

How Pinpoint helped Raymond James Life to automate their CE licensing process and eliminate the pain of tracking spreadsheets through email

“The automation and tracking provided has been extremely well received by RJL’s registrants. Now, it’s as simple as one mouse click for advisors and RJL Compliance Personnel to review registration status and take action on CE and IIROC Requirements”

Jeevan Dhamrait
Vice President of Operations
Raymond James Life

For the full story, download the case study

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Request a personalized demo centered around your business

See how Pinpoint’s Compliance Online System can help you offer a better way to train your entire organization.

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